SR-NASD-2003-141

Additional Mark-Up Policy for Transactions in Debt Securities

NASD has filed with the SEC a proposed rule change to establish a second interpretation, proposed IM-2440-2, to Rule 2440. Proposed IM-2440-2 provides additional mark-up guidance for transactions in debt securities, except municipal securities.

DateTitleFormat - SizeStatus
11/28/2006Notice of Filing of Amendment Nos. 3, 4, and 5PDF - 95.07 KB
1/12/2007Second Response to CommentsPDF - 239.47 KB
4/23/2007Approval OrderPDF - 72.44 KB
2/17/2005Text of Proposed Rule ChangePDF - 59.13 KB
6/29/2004Amendment No. 1 to Proposed Rule ChangePDF - 110.82 KB
2/17/2005Amendment No. 2 to Proposed Rule ChangePDF - 232.63 KB
3/14/2005Federal Register NoticePDF - 79.56 KB
10/4/2005Response to CommentsPDF - 1.92 MB
10/11/2005Amendment No. 3 to Proposed Rule ChangePDF - 294.69 KB
11/22/2005Amendment No. 4 to Proposed Rule ChangePDF - 229.51 KB
10/30/2006Amendment No. 5 to Proposed Rule ChangePDF - 185.98 KB