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SR-NASD-1999-004 |
Microcap Initiative - Proposed Recommendation Rule
NASDR is filing with the SEC a proposed rule change to adopt new NASD Rule 2315, which requires members to review current issuer information prior to recommending a transaction to a customer in an over-the-counter ("OTC") equity security. Additionally, the proposed rule change would amend NASD Rule 6740 to permit members to submit a certification to the Association that states that the member has conducted a review of specified information and has fulfilled its SEC Rule 15c2-11 obligations for documents that currently reside on the SEC's Electronic Data Gathering and Retrieval System ("EDGAR") database.
*Excluding Exhibits 2-4
| Text of proposed rule change* PDF 129 KB |
| Federal Register Notice PDF 43 KB |
| Extension Letter PDF 3 KB |
| Extension No. 2 PDF 3 KB |
| Third Extension Letter PDF 3 KB |
| Extension No. 4 PDF 3 KB |
| Extension No. 5 PDF 5 KB |
| Extension No. 6 PDF 5 KB |
| Extension No. 7 PDF 11 KB |
| Amendment No. 1 to Proposed Rule Change PDF 69 KB |
| Federal Register Notice of Filing of Amendment No. 1 PDF 61 KB |
| Eighth Extension Letter PDF 8 KB |
| Amendment No. 2 to Proposed Rule Change PDF 9 KB |
| Approval Order PDF 50 KB |
| Correction to Approval Order PDF 20 KB |
