Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-1998-078 Options Position Limits Hedge Exemption Pilot Program
SR-NASD-1998-076 Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence
SR-NASD-1998-075 Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing
SR-NASD-1998-074 Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers
SR-NASD-1998-069 Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales
SR-NASD-1998-064 Arbitrator List Selection Method for Intra-Industry Disputes
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-1998-054 SOES/SelectNet Access
SR-NASD-1998-052 Review of Incoming, Non-electronic Correspondence with the Public
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1998-048 Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes
SR-NASD-1998-046 Technical Corrections to Delegation Plan and IM-1000-4
SR-NASD-1998-045 Supervision of Correspondence
SR-NASD-1998-043 Extension of Application Deadline Series 55 Examination, Equity Trader
SR-NASD-1998-042 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1998-038 Amendments to OATS Rules
SR-NASD-1998-036 Amendments to NASD Regulation By-Laws Relating to At-Large Industry Members of the National Adjudicatory Council
SR-NASD-1998-035 Proposed Rule Relating to Books and Records
SR-NASD-1998-034 Proposed Rule Change to Rule 9514
SR-NASD-1998-033 Exemption From Fidelity Bonding Requirement
SR-NASD-1998-032 Proposed Rule Excluding Research Reports from Filing Requirements
SR-NASD-1998-031 Supervision of Correspondence
SR-NASD-1998-029 Proposed Rule Relating to Standards for Individual Correspondence
SR-NASD-1998-028 Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts

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