HomeRules & RegulationEnforcementEducation & ProgramsRegulatory SystemsArbitration & MediationInvestor Information
FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools
spacer image
spacer image
spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image spacer image
 
Search
Powered by Google

Rule Filings

spacer image LOGO

SR-NASD-2005-080

Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule to establish new NASD Rule 2290 to address disclosures and procedures concerning the issuance of fairness opinions.
 
Text of Proposed Rule Change PDF 278 KB
Amendment No. 1 to Proposed Rule Change PDF 110 KB
Amendment No. 2 to Proposed Rule Change PDF 146 KB
Amendment No. 3 to Proposed Rule Change PDF 276 KB
Federal Register Notice PDF 77 KB
Extension No. 1 PDF 20 KB
Extension No. 2 PDF 20 KB
Extension No. 3 PDF 20 KB
Extension No. 4 PDF 20 KB
Extension No. 5 PDF 20 KB
Extension No. 6 PDF 20 KB
Amendment No. 4 to Proposed Rule Change PDF 117 KB
Extension No. 7 PDF 20 KB
Extension No. 8 PDF 20 KB
Approval Order PDF 66 KB