SR-FINRA-2007-011
Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472
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 NASD Rule 2711 (Research Analysts and Research Reports) and NYSE Rule 472 (Communications With The Public) regarding a member's disclosure and supervisory review obligations when it distributes or makes available third-party research reports.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 99.2 KB | |
| Federal Register Notice | PDF - 57.79 KB | |
| Extension No. 1 | PDF - 19.42 KB | |
| Extension No. 2 | PDF - 23.45 KB | |
| Response to Comments | PDF - 174.71 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 91.25 KB | |
| Approval Order | PDF - 73.88 KB |