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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 176.51 KB
Federal Register NoticePDF - 57.95 KB
Extension No. 1PDF - 19.42 KB
Extension No. 2PDF - 19.49 KB
Response to CommentsPDF - 151.48 KB
Amendment No. 1 to Proposed Rule ChangePDF - 151.33 KB
Approval OrderPDF - 68.43 KB