Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-2005-064 Proposed Amendment to IM-8210-2
SR-FINRA-2007-022 Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations
SR-NASD-2003-126 Proposed Amendment to Expiration Date of Rules Relating to Bond Fund Volatility Ratings
SR-FINRA-2007-002 Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits
SR-NASD-2005-129 Propose Rule Change to Exempt All Securities Included in the Nasdaq 100 Index From the Price Test Set Forth in NASD Rule 3350(a)
SR-NASD-2005-117 Proposal to Make Permanent Bond Mutual Fund Volatility Ratings Rules
SR-NASD-2001-008 Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members
SR-NASD-2004-001 Proposal to Increase the Fee for Panel Member Training
SR-NASD-2006-005 Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer
SR-NASD-2003-041 Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules")
SR-NASD-2004-123 Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete
SR-NASD-2003-122 Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants
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-2004-084 Proposal to Amend Rule 2860-Options Rules
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-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-2006-060 Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD
SR-NASD-2006-064 Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests
SR-NASD-2006-044 Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment
SR-NASD-2006-135 Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD
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-2002-069 Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites
SR-NASD-2004-095 Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors
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-2003-157 Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)

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