Proposed Rule Change Relating to NASD Rule 2790

NASD has filed with the SEC a proposed rule change to amend subparagraph (i)(9) of Rule 2790 to exclude from the definition of "new issue" securities offerings of a business development company ("BDC"), a direct participation program ("DPP"), and a real estate investment trust ("REIT").

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 131.37 KB
Amendment No. 1 to Proposed Rule ChangePDF - 27.22 KB
Amendment No. 2 to Proposed Rule ChangePDF - 22.84 KB
Federal Register NoticePDF - 70.35 KB
Response to CommentsPDF - 25.76 KB
Approval OrderPDF - 56.5 KB
Correction to Approval OrderPDF - 47.96 KB