SR-FINRA-2007-010
Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. or ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend an exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 for certain research analysts employed by a member's foreign affiliate who contribute to the preparation of a member's research report.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 176.51 KB | |
| Federal Register Notice | PDF - 57.95 KB | |
| Extension No. 1 | PDF - 19.42 KB | |
| Extension No. 2 | PDF - 19.49 KB | |
| Response to Comments | PDF - 151.48 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 151.33 KB | |
| Approval Order | PDF - 68.43 KB |