REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End
GUIDANCE
OATS Execution Reporting Obligations
Effective Date: October 4, 2004
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
OATS
Rule 6954(d)
Executive Summary
On April 29, 2004, the Securities and Exchange Commission (SEC) approved amendments
INFORMATIONAL
Arbitrator Classification
Effective Date: July 19, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rules 10308 and 10312 of the NASD Code of Arbitration
This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.
Instructions for Web API Downloading of TRACE Data Files
Instructions For Completing Vendor Agreement
TRACE Usage Reporting Policy
