Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2003-107 To Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
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-2003-104 Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
SR-NASD-2003-101 Amendment to Rule 10304 of the NASD Code of Arbitration Procedure Governing Time Limits for Submission of Claims in Arbitration
SR-NASD-2003-099 Proposed Amendment to Rule 6260 New Issue Notification Procedures
SR-NASD-2003-097 Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-095 Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
SR-NASD-2003-094 Technical Amendment to NASD Rule 2210
SR-NASD-2003-093 Proposed Rule Change to By-Laws Regarding the Trading Activity Fee
SR-NASD-2003-092 Borrowing from or Lending to Customers
SR-NASD-2003-091 Series 23 Examination Program
SR-NASD-2003-079 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2003-078 Proposed Amendment to Rule 6230 to Reduce Reporting Period
SR-NASD-2003-075 Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR-NASD-2003-074 Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
SR-NASD-2003-073 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-069 Proposed Rule Change Regarding Failure to Pay Arbitration Awards
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-2003-067 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-NASD-2003-065 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-064 Extension of 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 with Claims of Statutory Employment Discrimination
SR-NASD-2003-057 Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)
SR-NASD-2003-055 Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc.
SR-NASD-2003-045 Margin Rule for Security Futures Contracts
SR-NASD-2003-041 Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules")

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