Rule Filings
View the Rule Filing Status Report.
Rule Filing Number | Title Sort descending |
---|---|
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 |
SR-NASD-2001-008 | Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members |
SR-NASD-2001-006 | Amendment to Composition of NASD Board |
SR-NASD-2000-077 | Proposed Rule Change to Amend Rule 1022(b), Rule 1022(c) (FINOP and Introducing FINOP Registration Requirements) and Rule 9610(a) (Procedures for Exemptive Relief) |
SR-NASD-2000-075 | Extension of Effectiveness of Pilot Injunctive Relief Rule |