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SR-NASD-2004-022 |
Shelf Offering Amendments
NASD has filed with the SEC a proposed rule change to amend NASD Rules 2710, 2810, IM-2440, and Schedule A to the NASD By-Laws to address the filing requirements and the regulation of public offerings of securities registered with the Commission and offered by members pursuant to SEC Rule 415 (“shelf offerings”).| Text of Proposed Rule Change PDF 192 KB |
| Amendment No. 1 to Proposed Rule Change PDF 334 KB |
| Amendment No. 2 to Proposed Rule Change PDF 59 KB |
| Exhibit 3 PDF 73 KB |
| Exhibit 4 PDF 58 KB |
| Amendment No. 3 to Proposed Rule Change PDF 79 KB |
| Federal Register Notice PDF 109 KB |
| Amendment No. 4 to Proposed Rule Change PDF 401 KB |
| Amendment No. 5 to Proposed Rule Change PDF 263 KB |
