Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2004-040 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2003-144 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2004-126 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2000-025 Extension of Time to Pass Series 55 Examination, Equity Trader
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-1998-082 Fee Rate Change Relative to the Review of Advertising
SR-NASD-2003-009 Fees Relating to the NASD Alternative Display Facility
SR-NASD-2002-028 Fees Relating to the NASD Alternative Display Facility
SR-NASD-2005-021 Guidance Regarding Members' Regulatory Transaction Fees
SR-NASD-1999-037 Hard to Borrow List
SR-NASD-1999-054 Implementation of Single Arbitrator Pilot Program
SR-NASD-2000-064 In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements
SR-NASD-1998-019 Interim Forms and Public Disclosure Program
SR-NASD-2003-190 Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR-NASD-2000-069 Limited Representative - Private Securities Offerings
SR-NASD-2000-040 Mandatory Decimalization Pricing Testing
SR-NASD-2001-046 Mandatory Electronic Filing of Public Offerings
SR-NASD-2000-003 Margin Requirements for Day-Trading Customers
SR-NASD-2002-166 Margin Rule Amendments for Security Futures Contracts
SR-NASD-2000-008 Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts
SR-NASD-2000-015 Margin Rule Amendments Relating to Options Positions
SR-NASD-2003-031 Margin Rule for Security Futures Contracts
SR-NASD-2003-045 Margin Rule for Security Futures Contracts
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1999-004 Microcap Initiative - Proposed Recommendation Rule

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