SR-NASD-2004-165
Proposed Rule Change Relating to NASD Rule 2790
NASD has filed with the SEC a proposed rule change to amend subparagraph (i)(9) of Rule 2790 to exclude from the definition of "new issue" securities offerings of a business development company ("BDC"), a direct participation program ("DPP"), and a real estate investment trust ("REIT").
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 131.37 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 27.22 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 22.84 KB | |
| Federal Register Notice | PDF - 70.35 KB | |
| Response to Comments | PDF - 25.76 KB | |
| Approval Order | PDF - 56.5 KB | |
| Correction to Approval Order | PDF - 47.96 KB |