Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-1998-045 Supervision of Correspondence
SR-NASD-1998-046 Technical Corrections to Delegation Plan and IM-1000-4
SR-NASD-1998-048 Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1998-052 Review of Incoming, Non-electronic Correspondence with the Public
SR-NASD-1998-054 SOES/SelectNet Access
SR-NASD-1998-057 Proposed Change to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules
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-1998-064 Arbitrator List Selection Method for Intra-Industry Disputes
SR-NASD-1998-069 Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales
SR-NASD-1998-074 Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers
SR-NASD-1998-075 Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing
SR-NASD-1998-076 Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence
SR-NASD-1998-078 Options Position Limits Hedge Exemption Pilot Program
SR-NASD-1998-080 Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders
SR-NASD-1998-081 Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations
SR-NASD-1998-082 Fee Rate Change Relative to the Review of Advertising
SR-NASD-1998-086 Corrections to By-Law Cross-References
SR-NASD-1998-087 Amendment to Corporate Financing Filing Fees
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-1998-091 Amendment to Time Period for Filing Information Requests in Arbitration
SR-NASD-1998-092 Tripling Position Limits for Standardized Equity Options
SR-NASD-1998-096 Amendments to Forms U-4 and U-5
SR-NASD-1998-097 Extension of Effectiveness of Pilot Injunctive Relief Rule
SR-NASD-1999-001 Simplification of Corporate Financing Filing Fees

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