SR-NASD-2003-141

Additional Mark-Up Policy for Transactions in Debt Securities

NASD has filed with the SEC a proposed rule change to establish a second interpretation, proposed IM-2440-2, to Rule 2440. Proposed IM-2440-2 provides additional mark-up guidance for transactions in debt securities, except municipal securities.

Text of Proposed Rule Change (PDF 146 KB)
Amendment No. 1 to Proposed Rule Change (PDF 111 KB)
Amendment No. 2 to Proposed Rule Change (PDF 233 KB)
Federal Register Notice (PDF 80 KB)
Response to Comments (PDF 1,963 KB)
Amendment No. 3 to Proposed Rule Change (PDF 295 KB)
Amendment No. 4 to Proposed Rule Change (PDF 230 KB)
Amendment No. 5 to Proposed Rule Change (PDF 186 KB)
Notice of Filing of Amendment Nos. 3, 4, and 5 (PDF 186 KB)
Second Response to Comments (PDF 240 KB)
Approval Order (PDF 73 KB)