Rule Filings

Rule Filing Numbersort descending Title
SR-NASD-2003-065 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-067 Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot
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-2003-069 Proposed Rule Change Regarding Failure to Pay Arbitration Awards
SR-NASD-2003-073 Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee
SR-NASD-2003-074 Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
SR-NASD-2003-075 Proposed Amendments Regarding Requests for Underwriting Activity Reports
SR-NASD-2003-078 Proposed Amendment to Rule 6230 to Reduce Reporting Period
SR-NASD-2003-079 To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports
SR-NASD-2003-091 Series 23 Examination Program
SR-NASD-2003-092 Borrowing from or Lending to Customers
SR-NASD-2003-093 Proposed Rule Change to By-Laws Regarding the Trading Activity Fee
SR-NASD-2003-094 Technical Amendment to NASD Rule 2210
SR-NASD-2003-095 Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification
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-2003-099 Proposed Amendment to Rule 6260 New Issue Notification Procedures
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-2003-104 Proposed New Uniform Definition of "Branch Office" under NASD Rule 3010(g)(2)
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-2003-107 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-2003-109 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-110 Uniform Hearing Procedures for and Consolidation of Rules Applicable to Expedited Proceedings
SR-NASD-2003-122 Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants
SR-NASD-2003-126 Proposed Amendment to Expiration Date of Rules Relating to Bond Fund Volatility Ratings
SR-NASD-2003-131 National Do-Not-Call Registry