Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest

NASD has filed with the SEC a proposed rule change to amend NASD Rules 1120 and 2711, and a proposed rule change to create a new NASD Rule 1050, to expand upon recently approved rules that govern research analyst conflicts of interest.

DateTitleFormat - SizeStatus
10/25/2002Text of Proposed Rule ChangePDF - 164.1 KB
12/18/2002Amendment No. 1 to Proposed Rule ChangePDF - 31.75 KB
12/27/2002Extension LetterPDF - 7.74 KB
1/7/2003Federal Register NoticePDF - 82.16 KB
5/20/2003Amendment No. 2 to Proposed Rule ChangePDF - 121.33 KB
7/29/2003Amendment No. 3 to Proposed Rule ChangePDF - 96.43 KB
7/29/2003Response to Comments (RF2002-154-a03) PDF - 82.51 KB
8/4/2003Approval OrderPDF - 112.67 KB