Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations)
Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness)
Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") to expand the list of violations eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP") to include failure to timely submit amendments to the Form U5, as required by Article V, Section 3(a) of the NASD By-Laws.
NASDR has filed with the SEC a proposed rule change to Rule 10201 of the Rules of the National Association of Securities Dealers, Inc.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to: (1) amend NASD Rule 10334 of the Code of Arbitration Procedure ("Code") to accelerate the expiration date of the rule from August 1, 2002 to December 31, 2000; (2) to delete paragraph (i) of Rule 10205, Schedule of Fees for Industry and Clearing Controversies
Proposal to Increase the Fee for Panel Member Training
Online Arbitration Claim Filing Pilot Program
NASD has filed with the SEC a proposed rule change to amend NASD Rule 10314(a) to provide that, in certain circumstances, parties must complete part of the arbitration claim filing process through the Internet and that, in all circumstances, parties may complete part of the claim filing process through the Internet.
This rule filing was withdrawn and was replaced with SR-NASD-2004-016
Reducing the Time for Chairperson Selection
