Proposed Amendments Regarding Requests for Underwriting Activity Reports

NASD has filed with the SEC a proposed rule change to amend NASD Rules to require members to request Underwriting Activity Reports ("UARs") from NASD’s Market Regulation Department rather than NASD’s Corporate Financing Department.

DateTitleFormat - SizeStatus
4/28/2003Text of Proposed Rule ChangePDF - 67.63 KB
5/28/2003Amendment No. 1 to Proposed Rule ChangePDF - 46.17 KB
10/22/2007Amendment No. 2 to Proposed Rule ChangePDF - 620.76 KB
7/30/2003Approval OrderPDF - 59.25 KB