SR-NASD-2004-014

Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions From the Reporting Requirements of NASD Rule 3150

NASD has filed with the SEC a proposed rule change to adopt Interpretative Material 3150 ("IM-3150") to establish exemptions from the reporting requirements of NASD Rule 3150.

Text of Proposed Rule Change (PDF 38 KB)
Amendment No. 1 to Proposed Rule Change (PDF 18 KB)
Notice of Filing and Immediate Effectiveness (PDF 45 KB)