Rule Regarding Research Analyst Conflicts of Interest

NASD Regulation, Inc., has filed with the SEC a proposed rule change to establish NASD Rule 2711 to address research analyst conflicts of interest.

DateTitleFormat - SizeStatus
2/8/2002Text of Proposed Rule ChangePDF - 112.19 KB
3/7/2002Amendment No. 1 to Proposed Rule ChangePDF - 19.28 KB
3/13/2002Federal Register NoticePDF - 103.94 KB
4/3/2002Federal Register Notice of Extension of Comment PeriodPDF - 33.93 KB
4/16/2002Extension LetterPDF - 5.01 KB
5/1/2002Amendment No. 2 to Proposed Rule ChangePDF - 47.2 KB
5/2/2002Response to CommentsPDF - 21.19 KB
5/10/2002SEC Order Approving NASD Proposed Rule on Analyst ConflictsPDF - 115.39 KB
5/16/2002Rule Language Approved by SECPDF - 20.93 KB