Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2003-064 Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination
SR-NASD-2004-040 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2003-144 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2004-126 Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
SR-NASD-2000-025 Extension of Time to Pass Series 55 Examination, Equity Trader
SR-NASD-2003-097 Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-1998-082 Fee Rate Change Relative to the Review of Advertising
SR-NASD-2003-009 Fees Relating to the NASD Alternative Display Facility
SR-NASD-2002-028 Fees Relating to the NASD Alternative Display Facility
SR-NASD-2005-021 Guidance Regarding Members' Regulatory Transaction Fees
SR-NASD-1999-037 Hard to Borrow List
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 - Updated
SR-NASD-1999-054 Implementation of Single Arbitrator Pilot Program
SR-NASD-2000-064 In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements
SR-NASD-1998-019 Interim Forms and Public Disclosure Program
SR-NASD-2003-190 Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR-NASD-2000-069 Limited Representative - Private Securities Offerings
SR-NASD-2000-040 Mandatory Decimalization Pricing Testing
SR-NASD-2001-046 Mandatory Electronic Filing of Public Offerings
SR-NASD-2000-003 Margin Requirements for Day-Trading Customers
SR-NASD-2002-166 Margin Rule Amendments for Security Futures Contracts
SR-NASD-2000-008 Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts
SR-NASD-2000-015 Margin Rule Amendments Relating to Options Positions
SR-NASD-2003-031 Margin Rule for Security Futures Contracts
SR-NASD-2003-045 Margin Rule for Security Futures Contracts

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