Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2004-026 Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule
SR-NASD-2006-011 Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence
SR-NASD-2004-058 Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets
SR-NASD-2003-183 Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
SR-NASD-2000-065 Proposed Amendments to Rule 10334 (Large and Complex Case Rule) to Accelerate Expiration of the Rule from August 1, 2002 to December 31, 2000 - Immediate Effectiveness Requested.
SR-NASD-2006-038 Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form
SR-NASD-2004-089 Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances
SR-NASD-2004-045 Proposed Amendments to Require Market Order Protection
SR-NASD-2003-175 Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
SR-FINRA-2009-075 Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
SR-FINRA-2007-035 Proposed Amendments to Options Supervision Requirements
SR-NASD-2002-070 Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions
SR-NASD-2005-058 Proposed Amendments to NASD Rules 3150 and 3230
SR-NASD-2005-130 Proposed Amendments to NASD Rule 6210(a), the Definition of "TRACE-eligible security," and NASD Rule 6260, the TRACE Notification Provision
SR-NASD-2007-041 Proposed Amendments to NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-NASD-2003-007 Proposed Amendments to Membership Application Rules
SR-NASD-2006-012 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-NASD-2006-035 Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers
SR-FINRA-2012-010 Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-NASD-2006-040 Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements
SR-NASD-2004-098 Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
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-2003-182 Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
SR-NASD-2005-134 Proposed Amendments Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States
SR-NASD-2005-135 Proposed Amendments Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States

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