[Federal Register Volume 67, Number 65 (Thursday, April 4, 2002)]
[Notices]
[Page 16140]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-8302]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-45679; File Nos. SR-NASD-2002-21; SR-NYSE-2002-09]


Self-Regulatory Organizations: Notice of Extension of the Comment 
Period for the Proposed Rule Changes by the National Association of 
Securities Dealers, Inc. and the New York Stock Exchange, Inc. Relating 
to Research Analyst Conflicts of Interest

April 2, 2002.
    On February 13, 2002, the National Association of Securities 
Dealers, Inc. (``NASD'' or ``Association''), through its wholly owned 
subsidiary, NASD Regulation, Inc. (``NASDR''), and on February 27, 
2002, the New York Stock Exchange, Inc. (``NYSE'' or ``Exchange''), 
filed with the Securities and Exchange Commission (``SEC'' or 
``Commission'') proposed rule changes, pursuant to Section 19(b)(1) of 
the Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b-4 
thereunder,\2\ relating to research analyst conflicts of interest. A 
complete description of the proposed rule changes is found in the 
notice of filing, which was published in the Federal Register on March 
14, 2002.\3\ The comment period expires on April 4, 2002. The 
Commission has decided to extend the comment period pursuant to Section 
19(b)(2) of the Act.\4\ Accordingly, the comment period shall be 
extended until April 18, 2002.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 45526 (March 8, 
2002), 67 FR 11526.
    \4\ 15 U.S.C. 78s(b)(2).
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    Interested persons are invited to submit written data, views, and 
arguments concerning the foregoing, including whether the proposed rule 
changes are consistent with the Act. Persons making written submissions 
should file six copies thereof with the Secretary, Securities and 
Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. 
Copies of the submission, all subsequent amendments, all written 
statements with respect to the proposed rule changes that are filed 
with the Commission, and all written communications relating to the 
proposed rule changes between the Commission and any person, other than 
those that may be withheld from the public in accordance with the 
provisions of 5 U.S.C. 552, will be available for inspection and 
copying in the Commission's Public Reference Room. Copies of such 
filing will also be available for inspection and copying at the 
principal offices of the Self-Regulatory Organizations. All submissions 
should refer to File Nos. SR-NASD-2002-21 and SR-NYSE-2002-09 and 
should be submitted by April 18, 2002.

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\5\
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    \5\ 17 CFR 200.30-3(a)(12).
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Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 02-8302 Filed 4-3-02; 8:45 am]
BILLING CODE 8010-01-P