Rule Filings
View the Rule Filing Status Report.
Rule Filing Number | Title Sort descending |
---|---|
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 |
SR-NASD-2003-192 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
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 |