Regulation
SR-NASD-2005-100
Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") proposed Rule 2231 that would require members, subject to specified exceptions, to provide customers in debt securities transactions additional, transaction-specific disclosures relating to applicable charges and fees, credit ratings, the availability of last-sale transaction information, and certain interest, yield and call provisions, and would require members to notify customers of the availability of a disclosure document discussing debt securities authored by NASD.
| Text of Proposed Rule Change | (PDF 277 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 337 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 187 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 74 KB) |
| Amendment No. 4 to Proposed Rule Change | (PDF 31 KB) |
| Federal Register Notice | (PDF 92 KB) |
| Extension No. 1 | (PDF 24 KB) |
| Extension No. 2 | (PDF 24 KB) |
| Extension No. 3 | (PDF 20 KB) |
| Extension No. 4 | (PDF 20 KB) |
| Extension No. 5 | (PDF 20 KB) |
| Amendment No. 5 to Proposed Rule Change | (PDF 233 KB) |
| Extension No. 6 | (PDF 20 KB) |
| Extension No. 7 | (PDF 20 KB) |
| Extension No. 8 | (PDF 24 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 20 KB) |
| Extension No. 14 | (PDF 20 KB) |
