Mandatory Electronic Filing of Public Offerings
NASD Regulation, Inc., has filed with the SEC a proposed rule change to Rule 2710 of the Conduct Rules of the NASD (the "Corporate Financing Rule" or "Rule") to require that members submit information on public offerings of securities to the Corporate Financing Department of the NASD Regulation ("Department") through an electronic filing system.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 39.23 KB | |
Federal Register Notice | PDF - 44.25 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 24.32 KB | |
Approval Order | PDF - 50.44 KB |