GENERAL PROVISIONS (0100)
MEMBERSHIP AND REGISTRATION RULES (1000)
1000. MEMBERSHIP, REGISTRATION AND QUALIFICATION REQUIREMENTS
CONDUCT RULES (2000–3000)
2000. BUSINESS CONDUCT
2100. GENERAL STANDARDS
2200. COMMUNICATIONS WITH CUSTOMERS AND THE PUBLIC
2800. SPECIAL PRODUCTS
2840. Trading in Index Warrants, Currency Index Warrants, and Currency Warrants
3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES
3300. TRADING
3500. EMERGENCY PREPAREDNESS
MARKETPLACE RULES (4000–7000)
4000. THE NASD/NASDAQ TRADE REPORTING FACILITY
4000A. NASD ALTERNATIVE DISPLAY FACILITY
4600A. TRADING IN ADF-ELIGIBLE SECURITIES
4610A. Registration and Other Requirements
4000E. THE NASD/NYSE TRADE REPORTING FACILITY
6000. NASD SYSTEMS AND PROGRAMS
6100. CLEARING AND COMPARISON RULES
6200. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
6000A. NASD ADF SYSTEMS AND PROGRAMS
6100A. TRACS TRADE COMPARISON SERVICE
6000E. NASD/NYSE TRADE REPORTING FACILITY SYSTEMS AND PROGRAMS
7000. CHARGES FOR OTC REPORTING FACILITY, OTC BULLETIN BOARD AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
7000A. CHARGES FOR ADF SERVICES AND EQUIPMENT
7000B. CHARGES FOR NASD/NASDAQ TRADE REPORTING FACILITY SERVICES
7000E. CHARGES FOR NASD/NYSE TRADE REPORTING FACILITY SERVICES
PROCEDURAL RULES (8000–14000)
8000. INVESTIGATIONS AND SANCTIONS
8100. GENERAL PROVISIONS
8200. INVESTIGATIONS
9000. CODE OF PROCEDURE
9100. APPLICATION AND PURPOSE
9130. Service; Filing of Papers
9140. Proceedings
9200. DISCIPLINARY PROCEEDINGS
9210. Complaint and Answer
9220. Request for Hearing; Extensions of Time, Postponements, Adjournments
9230. Appointment of Hearing Panel, Extended Hearing Panel
9240. Pre-hearing Conference and Submission
9250. Discovery
9260. Hearing and Decision
9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND NASD BOARD; APPLICATION FOR COMMISSION REVIEW
9310. Appeal to or Review by National Adjudicatory Council
9320. Transmission of Record; Extensions of Time, Postponements, Adjournments
9330. Appointment of Subcommittee or Extended Proceeding Committee; Disqualification and Recusal
9340. Proceedings
9350. Discretionary Review by NASD Board
9500. OTHER PROCEEDINGS
9520. Eligibility Proceedings
9550. Expedited Proceedings
9600. PROCEDURES FOR EXEMPTIONS
9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
11000. UNIFORM PRACTICE CODE
11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"
11300. DELIVERY OF SECURITIES
11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED
11500. DELIVERY OF SECURITIES WITH RESTRICTIONS
11570. Certificates in Various Names
11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS
11700. RECLAMATIONS AND REJECTIONS
11800. CLOSE-OUT PROCEDURES
12000. NASD CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
PART II GENERAL ARBITRATION RULES
PART III INITIATING AND RESPONDING TO CLAIMS
PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
PART V PREHEARING PROCEDURES AND DISCOVERY
PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS
13000. NASD CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION, AND AUTHORITY
PART II GENERAL ARBITRATION RULES
PART III INITIATING AND RESPONDING TO CLAIMS
PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
PART V PREHEARING PROCEDURES AND DISCOVERY
PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; AND INJUNCTIVE RELIEF
14000. NASD CODE OF MEDIATION PROCEDURE