Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to permit the approval of research reports by a supervisory analyst of the New York Stock Exchange to satisfy NASD requirements that research reports be approved by a registered principal.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 37.26 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 38.53 KB | |
| Federal Register Notice | PDF - 18.3 KB | |
| Approval Order | PDF - 20.73 KB |