SR-NASD-2003-075
Proposed Amendments Regarding Requests for Underwriting Activity Reports
NASD has filed with the SEC a proposed rule change to amend NASD Rules to require members to request Underwriting Activity Reports ("UARs") from NASD’s Market Regulation Department rather than NASD’s Corporate Financing Department.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 67.63 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 46.17 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 620.76 KB | |
| Approval Order | PDF - 59.25 KB |