Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2001-013 Amendments to the By-Law Definitions of Broker and Dealer
SR-NASD-2001-008 Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members
SR-NASD-2001-006 Amendment to Composition of NASD Board
SR-NASD-2000-077 Proposed Rule Change to Amend Rule 1022(b), Rule 1022(c) (FINOP and Introducing FINOP Registration Requirements) and Rule 9610(a) (Procedures for Exemptive Relief)
SR-NASD-2000-075 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-2000-070 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2000-069 Limited Representative - Private Securities Offerings
SR-NASD-2000-068 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e)
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-2000-064 In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements
SR-NASD-2000-058 Transactions Involving Association and American Stock Exchange Employees
SR-NASD-2000-055 Delivery of a Margin Disclosure Statement to Non-Institutional Customers
SR-NASD-2000-053 Amendment to Effective Date of Phase Three of Order Audit Trail System Rules
SR-NASD-2000-042 Recording and Reporting Requirements for Certain Quotation Data
SR-NASD-2000-040 Mandatory Decimalization Pricing Testing
SR-NASD-2000-039 Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan
SR-NASD-2000-038 Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities
SR-NASD-2000-036 Amendments to Options Rules
SR-NASD-2000-034 Amendments to Rules 10308 and 10312 Concerning the Authority of the Director of Arbitration to Remove Arbitrators for Cause
SR-NASD-2000-033 Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security
SR-NASD-2000-025 Extension of Time to Pass Series 55 Examination, Equity Trader
SR-NASD-2000-024 Confirmation Disclosure of Callable Common Stock
SR-NASD-2000-023 Amendments to Order Audit Trail System Rules
SR-NASD-2000-020 Amendments to Rule 2320(g) and Rule 3110(b)
SR-NASD-2000-015 Margin Rule Amendments Relating to Options Positions