Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2003-136 Amendments to NASD Rules 1013 and 1140
SR-NASD-2006-091 Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock.
SR-NASD-2004-121 Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-025 Amendments to NASD's Minor Rule Violation Plan
SR-NASD-2004-110 Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
SR-NASD-1998-038 Amendments to OATS Rules
SR-NASD-2000-036 Amendments to Options Rules
SR-NASD-2000-023 Amendments to Order Audit Trail System Rules
SR-NASD-2004-023 Amendments to Order Audit Trail System Rules Relating to Execution Reports
SR-NASD-2003-106 Amendments to Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons; Immediate Effectiveness Requested
SR-NASD-2003-193 Amendments to Reduce Fee for Regulatory Element of Continuing Education Program
SR-NASD-2004-115 Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program
SR-NASD-2003-095 Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
SR-NASD-1999-063 Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners
SR-NASD-2002-011 Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners
SR-NASD-2000-020 Amendments to Rule 2320(g) and Rule 3110(b)
SR-NASD-2004-130 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities
SR-NASD-2001-070 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders
SR-NASD-2004-171 Amendments to Rule 2340 (Customer Account Statements)
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-1998-023 Amendments to Rule 2860, Options Position Limits
SR-NASD-1998-074 Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers
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-2006-045 Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets
SR-NASD-2007-013 Amendments to Rules 2520 and 2860 to Adopt a Portfolio Margin Pilot Program

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