SR-NASD-2003-168
Release of Information Through the Public Disclosure Program
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") to enhance investor protection by expanding the types of information NASD makes available through its public disclosure program; to address fairness and privacy concerns by excluding certain information currently disclosed through the program based on the status or disposition of the event; to provide, upon written request and subject to terms and conditions established by NASD, a compilation of publicly available information about NASD members; and to make conforming changes.
| Text of Proposed Rule Change | (PDF 102 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 173 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 295 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 48 KB) |
| Federal Register Notice | (PDF 88 KB) |
| Extension Letter | (PDF 78 KB) |
| Extension No. 2 | (PDF 78 KB) |
| Third Extension Letter | (PDF 78 KB) |
| Amendment No. 4 to Proposed Rule Change | (PDF 109 KB) |
| Amendment No. 5 to Proposed Rule Change | (PDF 45 KB) |
| Notice of Filing of Amendment Nos. 4 and 5 | (PDF 88 KB) |
| Amendment No. 6 to Proposed Rule Filing | (PDF 25 KB) |
| Approval Order | (PDF 168 KB) |