SR-NASD-2003-141
Additional Mark-Up Policy for Transactions in Debt Securities
NASD has filed with the SEC a proposed rule change to establish a second interpretation, proposed IM-2440-2, to Rule 2440. Proposed IM-2440-2 provides additional mark-up guidance for transactions in debt securities, except municipal securities.
| Title | Format - Size | Status |
|---|---|---|
| Notice of Filing of Amendment Nos. 3, 4, and 5 | PDF - 95.07 KB | |
| Second Response to Comments | PDF - 239.47 KB | |
| Approval Order | PDF - 72.44 KB | |
| Text of Proposed Rule Change | PDF - 59.13 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 110.82 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 232.63 KB | |
| Federal Register Notice | PDF - 79.56 KB | |
| Response to Comments | PDF - 1.92 MB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 294.69 KB | |
| Amendment No. 4 to Proposed Rule Change | PDF - 229.51 KB | |
| Amendment No. 5 to Proposed Rule Change | PDF - 185.98 KB |