Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-1998-058 Proposed Change to NASD Rules to Eliminate the Requirement for Personal Service of Decisions in Cases Involving Bars and Expulsions
SR-NASD-1998-057 Proposed Change to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules
SR-NASD-2004-094 Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination
SR-NASD-2006-099 Proposed Amendments to the Procedures for Exercise of Options in Rule 2860
SR-NASD-2003-024 Proposed Amendments to the NASD Registration Rules
SR-NASD-2002-185 Proposed Amendments to the NASD Registration Rules
SR-NASD-1998-090 Proposed Amendments to the Code of Procedure to Provide for the Office of Disciplinary Affairs of NASD Regulation, Inc. to Authorize All Enforcement Actions
SR-NASD-2006-055 Proposed Amendments to Section 3 of Schedule A to the NASD By-Laws to Require the Reporting of Transactions Subject to a Regulatory Transaction Fee in an Automated Manner
SR-NASD-2006-039 Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities
SR-NASD-2002-154 Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest
SR-NASD-2004-133 Proposed Amendments to Rule 9522
SR-NASD-2006-029 Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers
SR-NASD-2005-120 Proposed Amendments to Rule 6250 Regarding Dissemination of TRACE-eligible Securities Transactions
SR-NASD-2002-174 Proposed Amendments to Rule 6200 Series to Increase Dissemination
SR-NASD-2002-112 Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD
SR-NASD-2002-146 Proposed Amendments to Rule 3011 to Require Members to Identify an Anti-Money Laundering Compliance Person
SR-NASD-2006-007 Proposed Amendments to Rule 2860 to Revise the Definition of the Term Underlying Index and Allow Members to Calculate Position Limits for Certain Conventional Equity Options
SR-NASD-2004-026 Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
SR-NASD-2006-011 Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence
SR-NASD-2004-058 Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets
SR-NASD-2003-183 Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
SR-NASD-2000-065 Proposed Amendments to Rule 10334 (Large and Complex Case Rule) to Accelerate Expiration of the Rule from August 1, 2002 to December 31, 2000 - Immediate Effectiveness Requested.
SR-NASD-2006-038 Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form
SR-NASD-2004-089 Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
SR-NASD-2004-045 Proposed Amendments to Require Market Order Protection