SR-NASD-2003-140

Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings

NASD has filed with the SEC proposed NASD Rule 2712 to prohibit certain abuses in the allocation and distribution of shares in initial public offerings ("IPOs").

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 55.48 KB
Extension No. 6PDF - 19.57 KB
Extension No. 7PDF - 19.52 KB
Extension No. 8PDF - 19.45 KB
Extension No. 9PDF - 23.51 KB
Extension No. 10PDF - 19.23 KB
Extension No. 11PDF - 19.49 KB
Extension No. 12PDF - 23.47 KB
Extension No. 13PDF - 23.67 KB
Extension No. 14PDF - 23.67 KB
Amendment No. 3 to Proposed Rule ChangePDF - 157.21 KB
Amendment No. 1 to Proposed Rule ChangePDF - 55.41 KB
Notice of Filing of Amendment No. 3PDF - 75.6 KB
Extension No. 15PDF - 23.67 KB
Extension No. 16PDF - 23.67 KB
Extension No. 17PDF - 23.67 KB
Amendment No. 4 to Proposed Rule ChangePDF - 146.83 KB
Extension No. 18PDF - 26.16 KB
Extension No. 19PDF - 31.43 KB
Approval OrderPDF - 92.52 KB
Amendment No. 2 to Proposed Rule ChangePDF - 152.51 KB
Federal Register NoticePDF - 106.42 KB
ExtensionPDF - 19.59 KB
Extension No. 2PDF - 77.92 KB
Extension No. 3PDF - 19.58 KB
Extension No. 4PDF - 19.58 KB
Extension No. 5PDF - 19.57 KB