SR-NASD-1998-032

Proposed Rule Excluding Research Reports from Filing Requirements

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.

Text of Proposed Rule Change (PDF 41 KB)
Amendment No. 1 (PDF 71 KB)
Federal Register Notice (PDF 19 KB)
Extension No. 1 (PDF 29 KB)
Extension No. 2 (PDF 29 KB)
Response to Comments (PDF 14 KB)
Amendment No. 2 to Proposed Rule Change (PDF 16 KB)
Amendment No. 3 to Proposed Rule Change (PDF 6 KB)
Approval Order (PDF 130 KB)