Notice to Members 99-41
NASD Announces New Electronic Filing System for Corporate Financing Filings
NASD Regulation, Inc. (NASD Regulation®) is announcing that it will deploy an electronic filing system that will permit National Association of Securities Dealers, Inc. (NASD®) members, their counsel, or vendors to file information electronically with the Corporate Financing Department (Department). NASD Conduct Rule 2710 (the Corporate Financing Rule or Rule) requires members to file most proposed public offerings with the Department. The Department reviews these filings prior to the commencement of an offering in order to determine whether the underwriting terms and arrangements meet the requirements of applicable NASD rules.
Questions about this Notice should be directed to LaNita Tyler or Kemba Walker, Corporate Financing Department, NASD Regulation, at (202) 974-2700.