SR-NASD-2004-141

Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows

NASD has filed with the SEC a proposed rule change to amend NASD Rule 2711 to prohibit (1) a research analyst from participating in a road show related to an investment banking services transaction and from engaging in any communication with a current or prospective customer in the presence of investment banking department personnel or company management about an investment banking services transaction and (2) investment banking department personnel from directing a research analyst to engage in such sales and marketing efforts and other communications with a customer about an investment banking services transaction.

DateTitleFormat - SizeStatus
7/20/2004Text of Proposed Rule ChangePDF - 59.2 KB
2/4/2005Amendment No. 1 to Proposed Rule ChangePDF - 56.47 KB
3/9/2005Amendment No. 2 to Proposed Rule ChangePDF - 21.93 KB
4/28/2005Approval OrderPDF - 56.65 KB