Rule Filings

Rule Filing Number Titlesort ascending
SR-NASD-1998-078 Options Position Limits Hedge Exemption Pilot Program
SR-NASD-2004-153 Options Position Limits - Exemption for OTC Derivatives Dealers
SR-NASD-2004-016 Online Arbitration Claim Filing Pilot Program
SR-NASD-2003-151 Online Arbitration Case Filing Pilot Program
SR-NASD-2001-020 Notice to Members on the Suitability Rule and Online Communications
SR-NASD-2000-001 Notice to Members on Extended Hours Trading
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-2003-131 National Do-Not-Call Registry
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-1999-004 Microcap Initiative - Proposed Recommendation Rule
SR-NASD-1998-051 Microcap Initiative - Amendments to NASD Rules 6530 and 6540
SR-NASD-2003-045 Margin Rule for Security Futures Contracts
SR-NASD-2003-031 Margin Rule for Security Futures Contracts
SR-NASD-2000-015 Margin Rule Amendments Relating to Options Positions
SR-NASD-2000-008 Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts
SR-NASD-2002-166 Margin Rule Amendments for Security Futures Contracts
SR-NASD-2000-003 Margin Requirements for Day-Trading Customers
SR-NASD-2001-046 Mandatory Electronic Filing of Public Offerings
SR-NASD-2000-040 Mandatory Decimalization Pricing Testing
SR-NASD-2000-069 Limited Representative - Private Securities Offerings
SR-NASD-2003-190 Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR-NASD-1998-019 Interim Forms and Public Disclosure Program
SR-NASD-2000-064 In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements
SR-NASD-1999-054 Implementation of Single Arbitrator Pilot Program
SR-FINRA-2018-034 Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds