Proposed Rule Change to Amend NASD Rule 2711 to Codify Existing Interpretive Guidance Relating to Research Analyst Rules

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 to codify NASD's existing interpretive guidance relating to certain provisions of the rule and to make several non-substantive, technical changes to clarify the rule's intended meaning.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 103.91 KB
Response to CommentsPDF - 364.51 KB
Notice of Filing and Immediate EffectivenessPDF - 63.92 KB