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SR-FINRA-2007-009 |
Proposed Rule Change to Modernize and Simplify NASD Rule 2720
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to modernize and simplify NASD Rule 2720 (Distributions of Securities of Members and Affiliates - Conflicts of Interest), which governs public offerings of securities in which a member with a conflict of interest participates.| Text of Proposed Rule Change PDF 123 KB |
