Rule Filings

View the Rule Filing Status Report.

Node: field_core_official_dt (year)
Rule Filing Number Title
SR-NASD-2003-190 Interpretations in a Forthcoming Notice to Members Describing Rule 2790
SR-NASD-2003-186 Administration of Qualification Examinations on Security Futures
SR-NASD-2003-184 Review and Update of Member Executive Representative Designation and Contact Information
SR-NASD-2003-183 Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person
SR-NASD-2003-182 Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting
SR-NASD-2003-181 Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants
SR-NASD-2003-177 Technical Amendments to Interpretative Material 3130 (IM-3130)
SR-NASD-2003-176 Chief Executive Officer and Chief Compliance Officer Certification Proposal
SR-NASD-2003-175 Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets
SR-NASD-2003-168 Release of Information Through the Public Disclosure Program
SR-NASD-2003-166 Amendments to Schedule B to the NASD By-Laws
SR-NASD-2003-164 Three-Day Adjournment Rule
SR-NASD-2003-163 Voluntary Direct Communication Between Parties and Arbitrators
SR-NASD-2003-158 Reorganization and Revision of NASD Rules Relating to Customer Disputes
SR-NASD-2003-157 Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE)
SR-NASD-2003-153 Amendment to 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-2003-151 Online Arbitration Case Filing Pilot Program
SR-NASD-2003-148 Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision
SR-NASD-2003-147 Amendment to the Delegation Plan to Remove NASDAQ Representation of NASD under the UTP Plan
SR-NASD-2003-145 Proposed Rule Change to Give Authority to NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations
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-2003-141 Additional Mark-Up Policy for Transactions in Debt Securities
SR-NASD-2003-140 Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
SR-NASD-2003-139 Technical Amendment to NASD Rule 2710
SR-NASD-2003-138 Amendments to Schedule B to the NASD By-Laws