SR-NASD-2003-158
Reorganization and Revision of NASD Rules Relating to Customer Disputes
NASD has filed with the SEC a proposed rule change to the NASD Code of Arbitration Procedure to reorganize and simplify the current rules governing customer disputes. The proposed rule change would also codify current practices and implement several substantive changes as described herein.
| Title | Format - Size | Status |
|---|---|---|
| Text of proposed rule change and Exhibit 1 | PDF - 116.08 KB | |
| Exhibit 2 to proposed rule change | PDF - 109.24 KB | |
| Exhibit 3 to proposed rule change | PDF - 333.95 KB | |
| Exhibit 4 to proposed rule change | PDF - 13.59 KB | |
| Exhibit 5 to proposed rule change | PDF - 35.17 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 1.04 MB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 22.32 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 733.54 KB | |
| Amendment No. 4 to Proposed Rule Change | PDF - 1.75 MB | |
| Federal Register Notice | PDF - 94.8 KB | |
| Amendment No. 5 to Proposed Rule Change | PDF - 1.01 MB | |
| Amendment No. 6 to Proposed Rule Change | PDF - 43.65 KB | |
| Amendment No. 7 to Proposed Rule Change | PDF - 612.78 KB | |
| Approval Order | PDF - 270.37 KB | |
| Customer Code | PDF - 241.25 KB |