SR-FINRA-2007-011

Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472

Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) regarding a member's disclosure and supervisory review obligations when it distributes or makes available third-party research reports.

DateTitleFormat - SizeStatus
9/12/2007Text of Proposed Rule ChangePDF - 99.2 KB
9/26/2007Federal Register NoticePDF - 57.79 KB
11/1/2007Extension No. 1PDF - 19.42 KB
12/14/2007Extension No. 2PDF - 23.45 KB
12/14/2007Response to CommentsPDF - 174.71 KB
1/16/2008Amendment No. 1 to Proposed Rule ChangePDF - 91.25 KB
2/12/2008Approval OrderPDF - 73.88 KB