NASD Notice to Members 07-05 - February 2007
Amendments to the Fees for Filing Offering Documents by Well Known Seasoned Issuers Pursuant to the Corporate Financing Rule; Effective Date: February 26, 2007
On January 24, 2007, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend Section 7 of Schedule A to NASD's By-Laws to adjust the fees for filing offering documents by “well-known seasoned issuers” pursuant to Rule 2710 (Corporate Financing Rule – Underwriting Terms and Arrangements).1
Section 7 of Schedule A to NASD's By-Laws, as amended, is set forth in Attachment A of this Notice. The amendments will be implemented on February 26, 2007.
Questions regarding this Notice may be directed to Joani Ward, Assistant Director, Corporate Financing Department, at (240) 386-4649; or Kathryn M. Moore, Assistant General Counsel, Office of General Counsel, at (202) 974-2974.
1 See SR-NASD-2007-006 filed on January 24, 2007. Under Section 19(b) of the Securities Exchange Act of 1934, the SEC has the authority to summarily abrogate this type of rule change within 60 days of filing.
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