SR-NASD-2002-154

Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest

NASD has filed with the SEC a proposed rule change to amend NASD Rules 1120 and 2711, and a proposed rule change to create a new NASD Rule 1050, to expand upon recently approved rules that govern research analyst conflicts of interest.

Text of Proposed Rule Change (PDF 165 KB)
Amendment No. 1 to Proposed Rule Change (PDF 32 KB)
Extension Letter (PDF 8 KB)
Federal Register Notice (PDF 83 KB)
Amendment No. 2 to Proposed Rule Change (PDF 122 KB)
Amendment No. 3 to Proposed Rule Change (PDF 97 KB)
Response to Comments (PDF 83 KB)
Approval Order (PDF 113 KB)