SR-NASD-2002-154
Proposed Amendments to Rules Governing Research Analyst Conflicts of Interest
NASD has filed with the SEC a proposed rule change to amend NASD Rules 1120 and 2711, and a proposed rule change to create a new NASD Rule 1050, to expand upon recently approved rules that govern research analyst conflicts of interest.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 164.1 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 31.75 KB | |
| Extension Letter | PDF - 7.74 KB | |
| Federal Register Notice | PDF - 82.16 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 121.33 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 96.43 KB | |
| Response to Comments (RF2002-154-a03) | PDF - 82.51 KB | |
| Approval Order | PDF - 112.67 KB |