NASD Notice to Members 01-59 - September 2001

NASD Requests Comment on Proposed Rule Amendments to Address Shelf Offerings of Securities; Comment Period Expires October 15, 2001

Executive Summary

NASD Regulation, Inc. (NASD RegulationSM) proposes to amend NASD Rules 2710, 2720, 2810, IM-2440, and Schedule A to the NASD By-Laws to adopt filing requirements and fees for shelf offerings of securities, and to otherwise amend those rules to address shelf offerings.

 

Questions concerning this NASD Notice to Members—Request for Comment may be directed to Joseph E. Price, Director, or Paul M. Mathews, Staff Supervisor, Corporate Financing Department, NASD Regulation, at (240) 386-4623.