SR-NASD-2003-075

Proposed Amendments Regarding Requests for Underwriting Activity Reports

NASD has filed with the SEC a proposed rule change to amend NASD Rules to require members to request Underwriting Activity Reports ("UARs") from NASD’s Market Regulation Department rather than NASD’s Corporate Financing Department.

Text of Proposed Rule Change (PDF 68 KB)
Amendment No. 1 to Proposed Rule Change (PDF 47 KB)
Amendment No. 2 to Proposed Rule Change (PDF 621 KB)
Approval Order (PDF 60 KB)