Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-1999-002 SEC Rule 504 Offerings
SR-NASD-1999-004 Microcap Initiative - Proposed Recommendation Rule
SR-NASD-1999-005 Amendments to Rule 2520 (Margin Rules) Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements and Options Transactions
SR-NASD-1999-007 Development of a Discovery Guide
SR-NASD-1999-008 Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination
SR-NASD-1999-015 Suspension of NAC Call for Review of Membership Decisions
SR-NASD-1999-019 Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums
SR-NASD-1999-021 Creation of a Separate Subsidiary to Administer Dispute Resolution Programs
SR-NASD-1999-027 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1999-028 Amendment to Make Electronic Filing Requirement Effective
SR-NASD-1999-035 Amendment To Associated Person Definition
SR-NASD-1999-036 Amendments to NASD Regulation By-Laws Relating to the Election of Chairs and Vice Chairs of the National Adjudicatory Council.
SR-NASD-1999-037 Hard to Borrow List
SR-NASD-1999-041 Approval Procedures for Day-Trading Accounts
SR-NASD-1999-042 Proposed Rule Change Relating to Performance Fee Arrangements
SR-NASD-1999-045 Amendments to Interpretation Governing Public Disclosure Program
SR-NASD-1999-046 Chief Compliance Officer Registration
SR-NASD-1999-050 Removal of Address from Forms U-4 and U-5
SR-NASD-1999-054 Implementation of Single Arbitrator Pilot Program
SR-NASD-1999-060 Proposed Rule 2790, Trading in Hot Equity Offerings
SR-NASD-1999-063 Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners
SR-NASD-1999-065 Creation of Corporate Bond Trade Reporting Facility
SR-NASD-1999-067 Amendments to Member Admission Rules
SR-NASD-1999-072 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1999-074 Exemption from the Corporate Financing Rule for Interval Funds