Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-NASD-2004-040 | 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-2004-039 | Reducing the Time for Chairperson Selection |
| SR-NASD-2004-031 | To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements |
| SR-NASD-2004-027 | Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions |
| SR-NASD-2004-026 | Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule |
| SR-NASD-2004-025 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-023 | Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2004-022 | Shelf Offering Amendments |
| SR-NASD-2004-020 | Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts |
| SR-NASD-2004-017 | Series 86/87 Examination Program |
| SR-NASD-2004-016 | Online Arbitration Claim Filing Pilot Program |
| SR-NASD-2004-014 | Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150 |
| SR-NASD-2004-013 | Reorganization and Revision of NASD Mediation Rules |
| SR-NASD-2004-012 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-011 | Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes |
| SR-NASD-2004-010 | To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts |
| SR-NASD-2004-005 | Proposed Rule Change to Amend NASD Rule 2370 |
| SR-NASD-2004-003 | To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2) |
| SR-NASD-2004-002 | Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access |
| SR-NASD-2004-001 | Proposal to Increase the Fee for Panel Member Training |
| SR-NASD-2003-201 | Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities |
| SR-NASD-2003-200 | Technical Amendment to Rule 2130 |
| SR-NASD-2003-197 | To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. |
| SR-NASD-2003-194 | Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-193 | Amendments to Reduce Fee for Regulatory Element of Continuing Education Program |