Regulation
SR-NASD-2003-140
Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
NASD has filed with the SEC proposed NASD Rule 2712 to prohibit certain abuses in the allocation and distribution of shares in initial public offerings ("IPOs").
| Text of Proposed Rule Change | (PDF 56 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 56 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 153 KB) |
| Federal Register Notice | (PDF 106 KB) |
| Extension | (PDF 20 KB) |
| Extension No. 2 | (PDF 78 KB) |
| Extension No. 3 | (PDF 20 KB) |
| Extension No. 4 | (PDF 20 KB) |
| Extension No. 5 | (PDF 20 KB) |
| Extension No. 6 | (PDF 20 KB) |
| Extension No. 7 | (PDF 20 KB) |
| Extension No. 8 | (PDF 20 KB) |
| Extension No. 9 | (PDF 20 KB) |
| Extension No. 10 | (PDF 20 KB) |
| Extension No. 11 | (PDF 20 KB) |
| Extension No. 12 | (PDF 20 KB) |
| Extension No. 13 | (PDF 24 KB) |
| Extension No. 14 | (PDF 24 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 158 KB) |
| Notice of Filing of Amendment No. 3 | (PDF 76 KB) |
| Extension No. 15 | (PDF 20 KB) |
| Extension No. 16 | (PDF 20 KB) |
| Extension No. 17 | (PDF 24 KB) |
| Amendment No. 4 to Proposed Rule Change | (PDF 146 KB) |
| Extension No. 18 | (PDF 26 KB) |
| Extension No. 19 | (PDF 27 KB) |
| Approval Order | (PDF 93 KB) |