Release of Information Through the Public Disclosure Program
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") to enhance investor protection by expanding the types of information NASD makes available through its public disclosure program; to address fairness and privacy concerns by excluding certain information currently disclosed through the program based on the status or disposition of the event; to provide, upon written request and subject to terms and conditions established by NASD, a compilation of publicly available information about NASD members; and to make conforming changes.
Title | Format - Size | Status |
---|---|---|
Text of Proposed Rule Change | PDF - 101.71 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 172.04 KB | |
Amendment No. 2 to Proposed Rule Change | PDF - 294.45 KB | |
Amendment No. 3 to Proposed Rule Change | PDF - 47.23 KB | |
Federal Register Notice | PDF - 87.49 KB | |
Extension Letter | PDF - 77.9 KB | |
Extension No. 2 | PDF - 77.9 KB | |
Third Extension Letter | PDF - 77.9 KB | |
Amendment No. 4 to Proposed Rule Change | PDF - 108.59 KB | |
Amendment No. 5 to Proposed Rule Change | PDF - 44.68 KB | |
Notice of Filing of Amendment Nos. 4 and 5 | PDF - 87.42 KB | |
Amendment No. 6 to Proposed Rule Filing | PDF - 24.27 KB | |
Approval Order | PDF - 167.71 KB |