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").

DateTitleFormat - SizeStatus
9/15/2003Text of Proposed Rule ChangePDF - 55.48 KB
12/21/2006Extension No. 6PDF - 19.57 KB
4/18/2007Extension No. 7PDF - 19.52 KB
9/20/2007Extension No. 8PDF - 19.45 KB
12/18/2007Extension No. 9PDF - 23.51 KB
12/18/2007Extension No. 10PDF - 19.23 KB
12/31/2008Extension No. 11PDF - 19.49 KB
6/24/2009Extension No. 12PDF - 23.47 KB
12/30/2009Extension No. 13PDF - 23.67 KB
2/17/2010Extension No. 14PDF - 23.67 KB
2/17/2010Amendment No. 3 to Proposed Rule ChangePDF - 157.21 KB
12/9/2003Amendment No. 1 to Proposed Rule ChangePDF - 55.41 KB
3/18/2010Notice of Filing of Amendment No. 3PDF - 75.6 KB
4/20/2010Extension No. 15PDF - 23.67 KB
5/19/2010Extension No. 16PDF - 23.67 KB
6/17/2010Extension No. 17PDF - 23.67 KB
7/30/2010Amendment No. 4 to Proposed Rule ChangePDF - 146.83 KB
7/30/2010Extension No. 18PDF - 26.16 KB
9/16/2010Extension No. 19PDF - 31.43 KB
10/5/2010Approval OrderPDF - 92.52 KB
8/4/2004Amendment No. 2 to Proposed Rule ChangePDF - 152.51 KB
12/28/2004Federal Register NoticePDF - 106.42 KB
1/7/2005ExtensionPDF - 19.59 KB
12/21/2005Extension No. 2PDF - 77.92 KB
3/22/2006Extension No. 3PDF - 19.58 KB
7/5/2006Extension No. 4PDF - 19.58 KB
7/5/2006Extension No. 5PDF - 19.57 KB