Rule Filings
View the Rule Filing Status Report.
Rule Filing Number Sort ascending | Title |
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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") |
SR-NASD-2003-036 | Amendments to NASD Rule 2340 |
SR-NASD-2003-031 | Margin Rule for Security Futures Contracts |
SR-NASD-2003-026 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |
SR-NASD-2003-025 | Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
SR-NASD-2003-024 | Proposed Amendments to the NASD Registration Rules |
SR-NASD-2003-019 | Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260) |
SR-NASD-2003-018 | Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws |
SR-NASD-2003-013 | Proposed Interpretive Material Regarding the Use of Investment Analysis Tools |
SR-NASD-2003-009 | Fees Relating to the NASD Alternative Display Facility |
SR-NASD-2003-007 | Proposed Amendments to Membership Application Rules |
SR-NASD-2003-001 | Refund of Member Surcharges in Arbitration |
SR-NASD-2002-185 | Proposed Amendments to the NASD Registration Rules |
SR-NASD-2002-182 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |