Spreadsheet: 33604d1230057875-search-and-replace-testing-rules-coding
Sheet: Sheet2

Id | Unique Id | Name | URL | Category | Created by Name | Updated by Name
9 | NASD IM-1000-1 | Filing of Misleading Information as to Membership or Registration | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/21/2008 by Moises Blanco (mblanco) | 05/21/2008 by Moises Blanco (mblanco)
10 | NASD IM-1000-2 | Status of Persons Serving in the Armed Forces of the United States | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/21/2008 by Moises Blanco (mblanco) | 05/21/2008 by Moises Blanco (mblanco)
13 | NASD IM-1000-3 | Failure to Register Personnel | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/21/2008 by Moises Blanco (mblanco) | 05/21/2008 by Moises Blanco (mblanco)
14 | NASD IM-1000-4 | Branch Offices and Offices of Supervisory Jurisdiction | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/21/2008 by Moises Blanco (mblanco) | 05/21/2008 by Moises Blanco (mblanco)
28 | NASD IM-1011-1 | Safe Harbor for Business Expansions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
35 | NASD IM-1013-1 | Membership Waive-In Process for Certain New York Stock Exchange Member Organizations | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
59 | NASD IM-1022-1 | Limited Principal—Registered Options and Security Futures | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
60 | NASD IM-1022-2 | Limited Principal—General Securities Sales Supervisor | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
115 | NASD IM-2110-2 | Trading Ahead of Customer Limit Order | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 07/15/2008 by [NAME] (mwalker)
121 | NASD IM-2110-3 | Front Running Policy | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
123 | NASD IM-2110-4 | Trading Ahead of Research Reports | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
124 | NASD IM-2110-5 | Anti-Intimidation/Coordination | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
125 | NASD IM-2110-6 | Confirmation of Callable Common Stock | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
127 | NASD IM-2110-7 | Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
143 | NASD IM-2210-1 | Guidelines to Ensure That Communications With the Public Are Not Misleading | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
144 | NASD IM-2210-2 | Communications with the Public About Variable Life Insurance and Variable Annuities | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
145 | NASD IM-2210-3 | Use of Rankings in Investment Companies Advertisements and Sales Literature | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
160 | NASD IM-2210-4 | Limitations on Use of FINRA’s Name and Any Other Corporate Name Owned by FINRA | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
164 | NASD IM-2210-5 | Requirements for the Use of Bond Mutual Fund Volatility Ratings | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
166 | NASD IM-2210-6 | Requirements for the Use of Investment Analysis Tools | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
168 | NASD IM-2210-7 | Guidelines for Communications with the Public Regarding Security Futures | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
169 | NASD IM-2210-8 | Communications with the Public About Collateralized Mortgage Obligations (CMOs) | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
216 | NASD IM-2310-1 | Possible Application of SEC Rules 15g-1 through 15g-9 | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/18/2008 by Moises Blanco (mblanco) | 06/20/2008 by [NAME] (mwalker)
229 | NASD IM-2310-2 | Fair Dealing with Customers | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/20/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
230 | NASD IM-2310-3 | Suitability Obligations to Institutional Customers | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/20/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
244 | NASD IM-2320 | Interpretive Guidance with Respect to Best Execution Requirements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 08/25/2008 by [NAME] (mwalker)
252 | NASD IM-2330 | Segregation of Customers' Securities | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 08/25/2008 by [NAME] (mwalker)
302 | NASD IM-2420-1 | Transactions Between Members and Non-Members | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
303 | NASD IM-2420-2 | Continuing Commissions Policy | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
307 | NASD IM-2440-1 | [NAME] Policy | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
313 | NASD IM-2440-2 | Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities1 | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
342 | NASD IM-2522 | Computation of Elapsed Days | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/29/2008 by [NAME] (mwalker)
389 | NASD IM-2730 | Safe Harbor and Presumption of Compliance | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
397 | NASD IM-2740 | Services in Distribution | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
399 | NASD IM-2750 | Transactions with Related Persons | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
457 | NASD IM-2830-1 | '[NAME]' Sales | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
459 | NASD IM-2830-2 | Maintaining the Public Offering Price | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
497 | NASD IM-2860-1 | Position Limits | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)
498 | NASD IM-2860-2 | Diligence in Opening Options Accounts | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)
276 | NASD IM-3010-1 | Standards for Reasonable Review | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/15/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
220 | NASD IM-3011-1 | Independent Testing Requirements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/18/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
234 | NASD IM-3011-2 | Review of Anti-Money Laundering Compliance Person Information | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/24/2008 by [NAME] (mwalker) | 06/24/2008 by [NAME] (mwalker)
270 | NASD IM-3013 | Annual Compliance and Supervision Certification | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/14/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
618 | NASD IM-3110 | Customer Account Information | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/16/2008 by [NAME] (mblanco) | 12/15/2008 by [NAME] (mwalker)
626 | NASD IM-3130 | Restrictions on a Member's Activity | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 12/15/2008 by [NAME] (mwalker)
631 | NASD IM-3150 | Exemptive Relief | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 12/15/2008 by [NAME] (mwalker)
683 | NASD IM-3310 | Manipulative and Deceptive Quotations | http://finra.complinet.com/en/display/display_main... | NASD Rules | 11/25/2008 by Moises Blanco (mblanco) | 11/25/2008 by Moises Blanco (mblanco)
685 | NASD IM-3320 | Firmness of Quotations | http://finra.complinet.com/en/display/display_main... | NASD Rules | 12/05/2008 by Moises Blanco (mblanco) | 12/15/2008 by [NAME] (mwalker)
629 | NASD NTM 04-24 | SEC Announces Immediate Effectiveness of IM-3150 Governing Exemptions from the Reporting Requirements of NASD Rule 3150 | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 12/01/2008 by Moises Blanco (mblanco)
537 | NASD NTM 06-34 | Technical Changes in the Reporting of Statistical and Summary Information Regarding Customer Complaints and Disclosure Events pursuant to Rule 3070 | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/26/2008 by Moises Blanco (mblanco) | 09/15/2008 by Moises Blanco (mblanco)
604 | NASD NTM 98-47 | SEC Approves Changes To Books And Records Requirements | http://finra.complinet.com/en/display/display.html... | NASD Rules | 09/16/2008 by [NAME] (mblanco) | 09/16/2008 by [NAME] (mblanco)
207 | NASD Rufle 2300 | Transactions with Customers | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/18/2008 by Moises Blanco (mblanco) | 06/18/2008 by Moises Blanco (mblanco)
547 | NASD Rule 1010 | Membership Proceedings | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/04/2008 by Moises Blanco (mblanco)
25 | NASD Rule 1011 | Definitions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
31 | NASD Rule 1012 | General Provisions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
33 | NASD Rule 1013 | New Member Application and Interview | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
36 | NASD Rule 1014 | Department Decision | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
40 | NASD Rule 1015 | Review by National Adjudicatory Council | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
42 | NASD Rule 1016 | Discretionary Review by FINRA Board | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
43 | NASD Rule 1017 | Application for Approval of Change in Ownership, Control, or Business Operations | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/22/2008 by Moises Blanco (mblanco)
44 | NASD Rule 1019 | Application to Commission for Review | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/22/2008 by Moises Blanco (mblanco) | 05/30/2008 by Moises Blanco (mblanco)
50 | NASD Rule 1021 | Registration Requirements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 05/30/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
52 | NASD Rule 1022 | Categories of Principal Registration | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/24/2008 by [NAME] (mwalker)
61 | NASD Rule 1030 | Registration of Representatives | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
62 | NASD Rule 1031 | Registration Requirements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
63 | NASD Rule 1032 | Categories of Representative Registration | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
74 | NASD Rule 1040 | Registration of Assistant Representatives and Proctors | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
75 | NASD Rule 1041 | Registration Requirements for Assistant Representatives | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
77 | NASD Rule 1042 | Restrictions for Assistant Representatives | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
78 | NASD Rule 1043 | Proctors of In-Firm Delivery of Regulatory Element | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 07/15/2008 by [NAME] (mwalker)
79 | NASD Rule 1050 | Registration of Research Analysts | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
81 | NASD Rule 1060 | Persons Exempt from Registration | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
83 | NASD Rule 1070 | Qualification Examinations and Waiver of Requirements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
86 | NASD Rule 1080 | Confidentiality of Examinations | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
87 | NASD Rule 1090 | Foreign Members | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
88 | NASD Rule 1100 | Foreign Associates | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
92 | NASD Rule 1110 - Reserved | (Currently Reserved) | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
93 | NASD Rule 1120 | Continuing Education Requirements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
106 | NASD Rule 1130 | Reliance on Current Membership List | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
109 | NASD Rule 1140 | Electronic Filing Rules | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
110 | NASD Rule 1150 | Executive Representative | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
111 | NASD Rule 1160 | Contact Information Requirements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 06/02/2008 by Moises Blanco (mblanco)
112 | NASD Rule 2110 | Standards of Commercial Honor and Principles of Trade | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/02/2008 by Moises Blanco (mblanco) | 12/15/2008 by [NAME] (mwalker)
130 | NASD Rule 2111 | Trading Ahead of Customer Market Orders | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
131 | NASD Rule 2120 | Use of Manipulative, Deceptive or Other Fraudulent Devices | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
132 | NASD Rule 2130 | Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System) | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
134 | NASD Rule 2200 | Communications with Customers and the Public | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/03/2008 by Moises Blanco (mblanco) | 06/03/2008 by Moises Blanco (mblanco)
4 | NASD Rule 2210 | Communications with the Public | http://finra.complinet.com/en/display/display_main... | NASD Rules | 04/18/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
5 | NASD Rule 2211 | Institutional Sales Material and Correspondence | http://finra.complinet.com/en/display/display_main... | NASD Rules | 04/18/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
172 | NASD Rule 2212 | Telemarketing | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
175 | NASD Rule 2220 | Options Communications with the Public | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 06/13/2008 by Moises Blanco (mblanco)
188 | NASD Rule 2230 | Confirmations | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/13/2008 by Moises Blanco (mblanco) | 07/29/2008 by [NAME] (mwalker)
192 | NASD Rule 2240 | Disclosure of Control Relationship with Issuer | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/16/2008 by Moises Blanco (mblanco) | 06/16/2008 by Moises Blanco (mblanco)
193 | NASD Rule 2250 | Disclosure of Participation or Interest in [NAME] or Secondary Distribution | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/16/2008 by Moises Blanco (mblanco) | 06/19/2008 by [NAME] (mwalker)
202 | NASD Rule 2260 | Forwarding of [NAME] and Other Materials | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/17/2008 by Moises Blanco (mblanco) | 07/29/2008 by [NAME] (mwalker)
203 | NASD Rule 2270 | Disclosure of Financial Condition to Customers | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/18/2008 by Moises Blanco (mblanco) | 06/18/2008 by Moises Blanco (mblanco)
204 | NASD Rule 2280 | Investor Education and Protection | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/18/2008 by Moises Blanco (mblanco) | 06/18/2008 by Moises Blanco (mblanco)
205 | NASD Rule 2290 | Fairness Opinions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 06/18/2008 by Moises Blanco (mblanco) | 06/18/2008 by Moises Blanco (mblanco)
3 | NASD Rule 2310 | Recommendations to Customers (Suitability) | http://finra.complinet.com/en/display/display_main... | NASD Rules | 04/18/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
237 | NASD Rule 2315 | Recommendations to Customers in OTC Equity Securities | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 07/08/2008 by Moises Blanco (mblanco)
239 | NASD Rule 2320 | Best Execution and Interpositioning | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 07/08/2008 by Moises Blanco (mblanco)
245 | NASD Rule 2330 | Customers' Securities or Funds | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
253 | NASD Rule 2340 | Customer Account Statements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 07/08/2008 by Moises Blanco (mblanco)
260 | NASD Rule 2341 | Margin Disclosure Statement | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
263 | NASD Rule 2342 | SIPC Information | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 07/29/2008 by [NAME] (mwalker)
265 | NASD Rule 2350 | Broker/Dealer Conduct on the Premises of Financial Institutions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/08/2008 by Moises Blanco (mblanco) | 07/28/2008 by [NAME] (mblanco)
295 | NASD Rule 2360 | Approval Procedures for Day-Trading Accounts | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/21/2008 by [NAME] (mblanco) | 07/21/2008 by [NAME] (mblanco)
297 | NASD Rule 2361 | Day-Trading Risk Disclosure Statement | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/21/2008 by [NAME] (mblanco) | 07/21/2008 by [NAME] (mblanco)
299 | NASD Rule 2370 | Borrowing From or Lending to Customers | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 10/01/2008 by [NAME] (mwalker)
300 | NASD Rule 2410 | Net Prices to Persons Not in Investment Banking or Securities Business | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
301 | NASD Rule 2420 | Dealing with Non-Members | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
304 | NASD Rule 2430 | Charges for Services Performed | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
305 | NASD Rule 2440 | Fair Prices and Commissions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
314 | NASD Rule 2441 | Net Transactions with Customers | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
316 | NASD Rule 2450 | Installment or Partial Sales | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
317 | NASD Rule 2460 | Payments for Market Making | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/29/2008 by [NAME] (mwalker)
321 | NASD Rule 2510 | Discretionary Accounts | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 10/01/2008 by [NAME] (mwalker)
326 | NASD Rule 2520 | Margin Requirements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 10/01/2008 by [NAME] (mwalker)
335 | NASD Rule 2521 | Margin Requirements — Exception for Certain Members | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
336 | NASD Rule 2522 | Definitions Related to Options, Currency Warrants, Currency Index Warrants and Stock Index Warrants Transactions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
343 | NASD Rule 2522 - Continued | (continued) Definitions Related to Options, Currency Warrants, Currency Index Warrants and Stock Index Warrants Transactions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
344 | NASD Rule 2710 | Corporate Financing Rule — Underwriting Terms and Arrangements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
372 | NASD Rule 2711 | Research Analysts and Research Reports | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/28/2008 by [NAME] (mblanco)
375 | NASD Rule 2720 | Distribution of Securities of Members and Affiliates — Conflicts of Interest | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/28/2008 by [NAME] (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
388 | NASD Rule 2730 | Securities Taken in Trade | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
391 | NASD Rule 2740 | Selling Concessions, Discounts and Other Allowances | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
398 | NASD Rule 2750 | Transactions with Related Persons | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by [NAME] (mwalker)
400 | NASD Rule 2760 | Offerings 'At the Market' | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
401 | NASD Rule 2770 | Disclosure of Price in Selling Agreements | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
403 | NASD Rule 2780 | Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
404 | NASD Rule 2790 | Restrictions on the [NAME] and Sale of Initial Equity Public Offerings | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
407 | NASD Rule 2810 | Direct Participation Programs | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
428 | NASD Rule 2820 | Variable Contracts of an Insurance Company | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 07/29/2008 by Moises Blanco (mblanco) | 07/29/2008 by Moises Blanco (mblanco)
226 | NASD Rule 2821 | Members' Responsibilities Regarding Deferred Variable Annuities | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/20/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
444 | NASD Rule 2830 | Investment Company Securities | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
460 | NASD Rule 2840 | Trading in Index Warrants, Currency Index Warrants, and Currency Warrants | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
461 | NASD Rule 2841 | General | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
462 | NASD Rule 2842 | Definitions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
463 | NASD Rule 2843 | Account Approval | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
464 | NASD Rule 2844 | Suitability | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
465 | NASD Rule 2845 | Discretionary Accounts | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
466 | NASD Rule 2846 | Supervision of Accounts | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
467 | NASD Rule 2847 | Customer Complaints | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
468 | NASD Rule 2848 | Communications with the Public and Customers Concerning Index Warrants, Currency Index Warrants, and Currency Warrants | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
469 | NASD Rule 2849 | Maintenance of Records | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
470 | NASD Rule 2850 | Position Limits | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
471 | NASD Rule 2851 | Exercise Limits | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
472 | NASD Rule 2852 | Reserved | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
473 | NASD Rule 2853 | Liquidation of Index Warrant Positions | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
474 | NASD Rule 2854 | Reserved | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/21/2008 by Moises Blanco (mblanco)
475 | NASD Rule 2860 | Options | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/21/2008 by Moises Blanco (mblanco) | 08/26/2008 by Moises Blanco (mblanco)
499 | NASD Rule 2865 | Security Futures | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)
500 | NASD Rule 2870 | Reserved | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)
501 | NASD Rule 2900 | Responsibilities to other Brokers or Dealers | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)
502 | NASD Rule 2910 | Disclosure of Financial Condition to Other Members | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)
6 | NASD Rule 3010 | Supervision | http://finra.complinet.com/en/display/display_main... | NASD Rules | 04/18/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
219 | NASD Rule 3011 | Anti-Money Laundering Compliance Program | http://finra.complinet.com/en/display/display_main... | NASD Rules | 06/18/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
268 | NASD Rule 3012 | Supervisory Control System | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/14/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
269 | NASD Rule 3013 | Annual Certification of Compliance and Supervisory Processes | http://finra.complinet.com/en/display/display_main... | NASD Rules | 07/14/2008 by [NAME] (mwalker) | 12/15/2008 by [NAME] (mwalker)
515 | NASD Rule 3020 | Fidelity Bonds | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/26/2008 by Moises Blanco (mblanco) | 08/26/2008 by Moises Blanco (mblanco)
486 | NASD Rule 3040 | Private Securities Transactions of an Associated Person | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/25/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
527 | NASD Rule 3050 | Transactions for or by Associated Persons | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/26/2008 by Moises Blanco (mblanco) | 10/01/2008 by [NAME] (mwalker)
534 | NASD Rule 3060 | Influencing or Rewarding Employees of Others | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/26/2008 by Moises Blanco (mblanco) | 12/15/2008 by [NAME] (mwalker)
487 | NASD Rule 3070 | Reporting Requirements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/25/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
539 | NASD Rule 3080 | Disclosure to Associated Persons When Signing Form U-4 | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/16/2008 by [NAME] (mblanco)
575 | NASD Rule 3090 | Transactions Involving Association and American Stock Exchange Employees | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/04/2008 by Moises Blanco (mblanco)
601 | NASD Rule 3100 | Books and Records, and Financial Condition | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/16/2008 by [NAME] (mblanco) | 09/16/2008 by [NAME] (mblanco)
488 | NASD Rule 3110 | Books and Records | http://finra.complinet.com/en/display/display_main... | NASD Rules | 08/25/2008 by [NAME] (mwalker) | 10/01/2008 by [NAME] (mwalker)
619 | NASD Rule 3115 | Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
620 | NASD Rule 3120 | Use of Information Obtained in Fiduciary Capacity | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
621 | NASD Rule 3121 | Custodian of the Record | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
622 | NASD Rule 3130 | Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
627 | NASD Rule 3131 | Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
586 | NASD Rule 3140 | Approval of Change in Exempt Status Under SEC Rule 15c3-3 | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/04/2008 by Moises Blanco (mblanco)
628 | NASD Rule 3150 | Reporting Requirements for Clearing Firms | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
632 | NASD Rule 3160 | Extensions of Time Under Regulation T and SEC Rule 15c3-3 | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
634 | NASD Rule 3170 | Mandatory Electronic Filing Requirements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/17/2008 by Moises Blanco (mblanco) | 09/17/2008 by Moises Blanco (mblanco)
636 | NASD Rule 3200 | Settlements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/24/2008 by Moises Blanco (mblanco) | 09/24/2008 by Moises Blanco (mblanco)
637 | NASD Rule 3210 | Short Sale Delivery Requirements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/24/2008 by Moises Blanco (mblanco) | 09/24/2008 by Moises Blanco (mblanco)
640 | NASD Rule 3220 | Adjustment of Open Orders | http://finra.complinet.com/en/display/display_main... | NASD Rules | 09/24/2008 by Moises Blanco (mblanco) | 09/30/2008 by [NAME] (mwalker)
703 | NASD Rule 3230 | Clearing Agreements | http://finra.complinet.com/en/display/display_main... | NASD Rules | 12/17/2008 by Moises Blanco (mblanco) | 12/17/2008 by Moises Blanco (mblanco)
684 | NASD Rule 3320 | Offers at Stated Prices | http://finra.complinet.com/en/display/display_main... | NASD Rules | 12/05/2008 by Moises Blanco (mblanco) | 12/05/2008 by Moises Blanco (mblanco)
583 | NASD Rule 3500 | Emergency Preparedness | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/04/2008 by Moises Blanco (mblanco)
584 | NASD Rule 3510 | Business Continuity Plans | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/04/2008 by Moises Blanco (mblanco)
551 | NASD Rule 3520 | Emergency Contact Information | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 09/04/2008 by Moises Blanco (mblanco) | 09/04/2008 by Moises Blanco (mblanco)
503 | NASD Rules 3000 | Responsibilities Relating to Associated Persons, Employees, and Others' Employees | http://finra.complinet.com/finra/display/display.h... | NASD Rules | 08/25/2008 by Moises Blanco (mblanco) | 08/25/2008 by Moises Blanco (mblanco)