Release of Information Through the Public Disclosure Program

NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") to enhance investor protection by expanding the types of information NASD makes available through its public disclosure program; to address fairness and privacy concerns by excluding certain information currently disclosed through the program based on the status or disposition of the event; to provide, upon written request and subject to terms and conditions established by NASD, a compilation of publicly available information about NASD members; and to make conforming changes.

DateTitleFormat - SizeStatus
11/20/2003Text of Proposed Rule ChangePDF - 101.71 KB
6/23/2006Amendment No. 5 to Proposed Rule ChangePDF - 44.68 KB
7/1/2006Notice of Filing of Amendment Nos. 4 and 5PDF - 87.42 KB
7/1/2006Amendment No. 6 to Proposed Rule FilingPDF - 24.27 KB
1/25/2007Approval OrderPDF - 167.71 KB
9/27/2004Amendment No. 1 to Proposed Rule ChangePDF - 172.04 KB
3/8/2005Amendment No. 2 to Proposed Rule ChangePDF - 294.45 KB
4/12/2005Amendment No. 3 to Proposed Rule ChangePDF - 47.23 KB
6/30/2005Federal Register NoticePDF - 87.49 KB
8/18/2005Extension LetterPDF - 77.9 KB
9/21/2005Extension No. 2PDF - 77.9 KB
10/11/2005Third Extension LetterPDF - 77.9 KB
6/6/2006Amendment No. 4 to Proposed Rule ChangePDF - 108.59 KB