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3230. Clearing Agreements

This rule is no longer applicable. NASD Rule 3230 has been superseded by FINRA Rule 4311. Please consult the appropriate FINRA Rule.

3220. Adjustment of Open Orders

This rule is no longer applicable. NASD Rule 3220 has been superseded by FINRA Rule 5330. Please consult the appropriate FINRA Rule.

3210. Short Sale Delivery Requirements

This rule is no longer applicable. NASD Rule 3210 has been superseded by FINRA Rule 4320. Please consult the appropriate FINRA Rule.

3200. SETTLEMENTS

Cross References–

Rule 6350A, Clearance and Settlement
Rule 11000 Series, Uniform Practice Code

3170. Mandatory Electronic Filing Requirements

This rule is no longer applicable. NASD Rule 3170 has been superseded by FINRA Rule 4517. Please consult the appropriate FINRA Rule.

Each member shall be required to file with NASD, or otherwise submit to NASD, in such electronic format as NASD may require, all regulatory notices or other documents required to be filed or otherwise submitted to NASD, as specified by NASD.

3160. Extensions of Time Under Regulation T and SEC Rule 15c3-3

This rule is no longer applicable. NASD Rule 3160 has been superseded by FINRA Rule 4230. Please consult the appropriate FINRA Rule.

3131. Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties

This rule is no longer applicable. NASD Rule 3131 has been superseded by FINRA Rule 4130. Please consult the appropriate FINRA Rule.

IM-3130. Restrictions on a Member's Activity

This rule is no longer applicable. NASD Rule IM-3130 has been superseded by FINRA Rules 4110, 4140, and 4521. Please consult the appropriate FINRA Rules.

3130. Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties

This rule is no longer applicable. NASD Rule 3130 has been superseded by FINRA Rules 4110, 4120, and 4140. Please consult the appropriate FINRA Rules.

3121. Custodian of the Record

This rule is no longer applicable. NASD Rule 3121 has been superseded by FINRA Rule 4570. Please consult the appropriate FINRA Rule.

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