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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 67.63 KB
Amendment No. 1 to Proposed Rule ChangePDF - 46.17 KB
Amendment No. 2 to Proposed Rule ChangePDF - 620.76 KB
Approval OrderPDF - 59.25 KB