Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-1999-004 Microcap Initiative - Proposed Recommendation Rule
SR-NASD-2006-003 NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances
SR-NASD-2003-131 National Do-Not-Call Registry
SR-NASD-2001-090 Notice of Proposed Rule Change Relating to NASDAQ Separation from the NASD and the Establishment of the NASD Alternative Display Facility
SR-NASD-2000-001 Notice to Members on Extended Hours Trading
SR-NASD-2001-020 Notice to Members on the Suitability Rule and Online Communications
SR-NASD-2003-151 Online Arbitration Case Filing Pilot Program
SR-NASD-2004-016 Online Arbitration Claim Filing Pilot Program
SR-NASD-2004-153 Options Position Limits - Exemption for OTC Derivatives Dealers
SR-NASD-1998-078 Options Position Limits Hedge Exemption Pilot Program
SR-NASD-2003-157 Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2002-126 Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards
SR-NASD-2004-095 Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
SR-NASD-2002-069 Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
SR-NASD-2007-012 Proposal Relating to Implementation of Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities
SR-NASD-2006-135 Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
SR-NASD-2006-044 Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment
SR-NASD-2006-064 Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests
SR-NASD-2006-060 Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD
SR-FINRA-2018-026 Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
SR-NASD-2006-066 Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis
SR-NASD-2004-084 Proposal to Amend Rule 2860-Options Rules
SR-FINRA-2009-026 Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
SR-NASD-2003-122 Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants