Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-1999-035 Amendment To Associated Person Definition
SR-NASD-1999-028 Amendment to Make Electronic Filing Requirement Effective
SR-NASD-1999-027 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1999-021 Creation of a Separate Subsidiary to Administer Dispute Resolution Programs
SR-NASD-1999-019 Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums
SR-NASD-1999-015 Suspension of NAC Call for Review of Membership Decisions
SR-NASD-1999-008 Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination
SR-NASD-1999-007 Development of a Discovery Guide
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-1999-004 Microcap Initiative - Proposed Recommendation Rule
SR-NASD-1999-002 SEC Rule 504 Offerings
SR-NASD-1999-001 Simplification of Corporate Financing Filing Fees
SR-NASD-1998-097 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1998-096 Amendments to Forms U-4 and U-5
SR-NASD-1998-092 Tripling Position Limits for Standardized Equity Options
SR-NASD-1998-091 Amendment to Time Period for Filing Information Requests in Arbitration
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-1998-087 Amendment to Corporate Financing Filing Fees
SR-NASD-1998-086 Corrections to By-Law Cross-References
SR-NASD-1998-082 Fee Rate Change Relative to the Review of Advertising
SR-NASD-1998-081 Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations
SR-NASD-1998-080 Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders
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