Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications About an Investment Banking Services Transaction to be Fair, Balanced and Not Misleading

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Date Received
Date Letter Type Commenter Name
Public Comment Laurie Fiori Hacking, Executive Director, Ohio Public Employees Retirement System

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2004-141
Release Number
34-51358
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