GUIDANCE
Corporate Financing Fee
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal and Compliance
Senior Management
Operations
Corporate Financing
Fees
Public Offerings
Rule 2710
Rule 2720
Schedule A to NASD By-Laws
Well-Known Seasoned Issuers (WSKIs)
Executive Summary
On January 24, 2007, NASD filed with the Securities and Exchange
Commission (SEC) for immediate
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Investment Banking
Legal & Compliance
Operations
Research
Senior Management
Communications with the Public
Investment Banking
Research Analysts
Rule 2711
Executive Summary
NASD has filed for immediate effectiveness a proposed rule change
to codify certain
Reportable Options Positions, Options Position Limits and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Options
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Aggregation
Exercise Limits
Index Options
Large Options Position Reporting
Options
Position Limits
Rule 2860
Executive Summary
On November 15, 2006, the Securities and Exchange Commission
(
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules Relating to Warrants, Options and Security Futures
FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
Technology Changes for Reporting Clearing Methods and Arrangements
Continuing Application of NASD Rules and Incorporated NYSE Rules
FINRA Announces Changes in Composition of National Adjudicatory Council and Nominees for Vacant Small Firm and Large Firm Industry Seats
