SR-FINRA-2007-010

Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02

Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend an exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for certain research analysts employed by a member's foreign affiliate who contribute to the preparation of a member's research report.

DateTitleFormat - SizeStatus
9/12/2007Text of Proposed Rule ChangePDF - 176.51 KB
9/12/2007Federal Register NoticePDF - 57.95 KB
11/1/2007Extension No. 1PDF - 19.42 KB
12/14/2007Extension No. 2PDF - 19.49 KB
12/14/2007Response to CommentsPDF - 151.48 KB
1/16/2008Amendment No. 1 to Proposed Rule ChangePDF - 151.33 KB
2/11/2008Approval OrderPDF - 68.43 KB