NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to exclude independently-prepared research reports from the filing requirements of Rule 2210.
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This rule filing was withdrawn and was replaced with SR-NASD-2004-016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
NASD has filed with the SEC a proposed rule change to the NASD Code of Arbitration Procedure to reorganize and simplify the current rules governing customer disputes. The proposed rule change would also codify current practices and implement several substantive changes as described herein.
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
Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
Reorganization and Revision of NASD Mediation Rules
Proposed Foreign Hearing Location Rule
This filing has been withdrawn.
NASD has filed with the SEC a proposed rule change to amend Rule 10321 of the NASD Code of Arbitration Procedure ("Code") to incorporate the discovery sanctions portion of the proposed Customer and Industry Code revision.
The subject matter of this proposed rule change is addressed in the Revision of the Customer Portion of the NASD Code of Arbitration