Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2000-012 Amendments to Rules Governing Member Communications With the Public
SR-NASD-2004-145 Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations)
SR-NASD-2003-201 Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities
SR-NASD-2003-138 Amendments to Schedule B to the NASD By-Laws
SR-NASD-2003-166 Amendments to Schedule B to the NASD By-Laws
SR-NASD-2004-116 Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2004-111 Amendments to Supervisory Control and Inspection Procedures Rules
SR-NASD-2001-013 Amendments to the By-Law Definitions of Broker and Dealer
SR-NASD-1999-076 Amendments to the Code of Procedure and Other Provisions
SR-NASD-2000-004 Amendments to the Corporate Financing Rule
SR-NASD-2003-068 Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs)
SR-NASD-2004-100 Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness
SR-NASD-2002-004 Amendments to the Taping Rule
SR-NASD-2002-046 Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules)
SR-NASD-2002-024 Anti-Money Laundering Compliance Programs
SR-NASD-2000-038 Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities
SR-NASD-1999-041 Approval Procedures for Day-Trading Accounts
SR-NASD-1998-064 Arbitrator List Selection Method for Intra-Industry Disputes
SR-NASD-2004-122 Arbitrator Web Literacy
SR-NASD-2003-092 Borrowing from or Lending to Customers
SR-NASD-2002-108 Business Continuity Plans and Emergency Contact Information
SR-NASD-1998-076 Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence
SR-NASD-1998-004 Change to Policy on Accepting Claims for Arbitration Involving Exempted Securities
SR-NASD-1999-046 Chief Compliance Officer Registration
SR-NASD-2003-176 Chief Executive Officer and Chief Compliance Officer Certification Proposal

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