Rule Filings

Rule Filing Numbersort ascending Title
SR-NASD-2002-011 Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners
SR-NASD-2002-005 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-2002-004 Amendments to the Taping Rule
SR-NASD-2002-003 Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements
SR-NASD-2002-002 Rule Change to Amend NASD Code of Procedure Rule 9522
SR-NASD-2001-095 Adoption of Interpretive Material Regarding Interfering with the Transfer of Customer Accounts
SR-NASD-2001-091 To Establish Effective Date of Debt Securities Reporting and Dissemination Rules (Rule 6200 Series)
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-2001-085 Amendments to NASD Rule 3370, Affirmative Determination Requirements
SR-NASD-2001-074 Amendments to NASD Regulation, Inc. By-Laws
SR-NASD-2001-070 Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders
SR-NASD-2001-062 Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52
SR-NASD-2001-058 Proposed Rule Change to Amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270
SR-NASD-2001-057 Amendments to NASD Regulation, Inc. By-Laws
SR-NASD-2001-053 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d)
SR-NASD-2001-049 Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings
SR-NASD-2001-047 Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures
SR-NASD-2001-046 Mandatory Electronic Filing of Public Offerings
SR-NASD-2001-026 Series 82 Examination Program
SR-NASD-2001-023 Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested
SR-NASD-2001-022 Revisions to Series 26 Examination Program; Immediate Effectiveness Requested
SR-NASD-2001-021 Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees
SR-NASD-2001-020 Notice to Members on the Suitability Rule and Online Communications
SR-NASD-2001-019 Reporting Requirements for Clearing Members
SR-NASD-2001-013 Amendments to the By-Law Definitions of Broker and Dealer