SR-NASD-2002-021

Rule Regarding Research Analyst Conflicts of Interest

NASD Regulation, Inc., has filed with the SEC a proposed rule change to establish NASD Rule 2711 to address research analyst conflicts of interest.
Text of Proposed Rule Change (PDF 113 KB)
Amendment No. 1 to Proposed Rule Change (PDF 20 KB)
Federal Register Notice (PDF 104 KB)
Federal Register Notice of Extension of Comment Period (PDF 34 KB)
Extension Letter (PDF 6 KB)
Amendment No. 2 to Proposed Rule Change (PDF 48 KB)
Response to Comments (PDF 9 KB)
SEC Approval Order (PDF 116 KB)
Rule Language Approved by SEC (PDF 21 KB)