SR-NASD-1999-041 |
Approval Procedures for Day-Trading Accounts |
SR-NASD-1999-037 |
Hard to Borrow List |
SR-NASD-1999-036 |
Amendments to NASD Regulation By-Laws Relating to the Election of Chairs and Vice Chairs of the National Adjudicatory Council. |
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 |