Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-NASD-1999-035 | Amendment To Associated Person Definition |
| SR-NASD-1999-028 | Amendment to Make Electronic Filing Requirement Effective |
| SR-NASD-1999-027 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
| SR-NASD-1999-021 | Creation of a Separate Subsidiary to Administer Dispute Resolution Programs |
| SR-NASD-1999-019 | Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums |
| SR-NASD-1999-015 | Suspension of NAC Call for Review of Membership Decisions |
| SR-NASD-1999-008 | Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination |
| SR-NASD-1999-007 | Development of a Discovery Guide |
| SR-NASD-1999-005 | Amendments to Rule 2520 (Margin Rules) Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements and Options Transactions |
| SR-NASD-1999-004 | Microcap Initiative - Proposed Recommendation Rule |
| SR-NASD-1999-002 | SEC Rule 504 Offerings |
| SR-NASD-1999-001 | Simplification of Corporate Financing Filing Fees |
| SR-NASD-1998-097 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
| SR-NASD-1998-096 | Amendments to Forms U-4 and U-5 |
| SR-NASD-1998-092 | Tripling Position Limits for Standardized Equity Options |
| SR-NASD-1998-091 | Amendment to Time Period for Filing Information Requests in Arbitration |
| SR-NASD-1998-090 | Proposed Amendments to the Code of Procedure to Provide for the Office of Disciplinary Affairs of NASD Regulation, Inc. to Authorize All Enforcement Actions |
| SR-NASD-1998-087 | Amendment to Corporate Financing Filing Fees |
| SR-NASD-1998-086 | Corrections to By-Law Cross-References |
| SR-NASD-1998-082 | Fee Rate Change Relative to the Review of Advertising |
| SR-NASD-1998-081 | Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations |
| SR-NASD-1998-080 | Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders |
| SR-NASD-1998-078 | Options Position Limits Hedge Exemption Pilot Program |
| SR-NASD-1998-076 | Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence |
| SR-NASD-1998-075 | Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing |