SR-NASD-2001-046
Mandatory Electronic Filing of Public Offerings
NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rule 2710 of the Conduct Rules of the NASD (the "Corporate Financing Rule" or "Rule") to require that members submit information on public offerings of securities to the Corporate Financing Department of the NASD Regulation ("Department") through an electronic filing system.
| Text of Proposed Rule Change | (PDF 40 KB) |
| Federal Register Notice | (PDF 45 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 25 KB) |
| Approval Order | (PDF 51 KB) |