Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2006-086 Revisions to the Series 55 Examination Program.
SR-FINRA-2007-031 Revisions to the Series 62 Examination Program
SR-FINRA-2007-032 Revisions to the Series 72 Examination Program
SR-FINRA-2007-033 Revisions to the Series 82 Examination Program
SR-NASD-1998-002 Rule 2860, Option Position Limits: Extension of Hedge Exemption Pilot Program
SR-NASD-2002-002 Rule Change to Amend NASD Code of Procedure Rule 9522
SR-NASD-2006-137 Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS CAES System and Inet Facility, Which are Currently Operated by The Nasdaq Stock Market, Inc. and its Subsidiaries as Facilities of NASD
SR-NASD-2006-052 Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules
SR-NASD-2002-021 Rule Regarding Research Analyst Conflicts of Interest
SR-NASD-1998-075 Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing
SR-NASD-2001-047 Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures
SR-NASD-1999-002 SEC Rule 504 Offerings
SR-NASD-2002-128 Security Futures Risk Disclosure Statement
SR-NASD-2002-129 Security Futures Risk Disclosure Statement
SR-NASD-2002-040 Security Futures Rules
SR-NASD-2003-091 Series 23 Examination Program
SR-NASD-2001-026 Series 82 Examination Program
SR-NASD-2004-049 Series 86/87 Examination and Development Fees
SR-NASD-2004-017 Series 86/87 Examination Program
SR-NASD-2004-022 Shelf Offering Amendments
SR-NASD-1999-001 Simplification of Corporate Financing Filing Fees
SR-NASD-1998-054 SOES/SelectNet Access
SR-NASD-2002-147 Sunsetting Revisions to By-Laws Regarding the Regulatory Fee and the Trading Activity Fee Established in SR-NASD-2002-98
SR-NASD-1998-031 Supervision of Correspondence
SR-NASD-1998-045 Supervision of Correspondence