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SR-NASD-2003-141 |
Additional Mark-Up Policy for Transactions in Debt Securities
NASD has filed with the SEC a proposed rule change to establish a second interpretation, proposed IM-2440-2, to Rule 2440. Proposed IM-2440-2 provides additional mark-up guidance for transactions in debt securities, except municipal securities.
| Text of Proposed Rule Change PDF 146 KB |
| Amendment No. 1 to Proposed Rule Change PDF 111 KB |
| Amendment No. 2 to Proposed Rule Change PDF 233 KB |
| Federal Register Notice PDF 80 KB |
| Response to Comments PDF 1,963 KB |
| Amendment No. 3 to Proposed Rule Change PDF 295 KB |
| Amendment No. 4 to Proposed Rule Change PDF 230 KB |
| Amendment No. 5 to Proposed Rule Change PDF 186 KB |
| Notice of Filing of Amendment Nos. 3, 4, and 5 PDF 186 KB |
| Second Response to Comments PDF 240 KB |
| Approval Order PDF 73 KB |
