Displaying 30801 - 30810 of 34834 Results
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
In 1993, the American Stock Exchange (Amex), the Chicago Board Options Exchange (CBOE), the Municipal Securities Rulemaking Board (MSRB), the National Association of Securities Dealers, Inc. (NASD), the New York Stock Exchange (NYSE), and the Philadelphia Stock Exchange (PHLX), endorsed the Report and
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsTraining
Executive Summary
On April 7, 1994, the Securities and Exchange Commission (SEC) approved amendments to Municipal Securities Rulemaking Board (MSRB) Rule G-19 concerning suitability of recommendations. The amendments eliminate two provisions that had operated as exemptions to the rule and clarify the
SUGGESTED ROUTING
Senior ManagementInstitutionalInternal AuditLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-
April 18, 1994
Dear Member:
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-keeping and record retention, respectively, were also approved. The limitations and requirements
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On March 29, 1994, the Securities and Exchange Commission (SEC) approved amendments to Article II, Sections 10 and 11 of the Code of Procedure that allow the National Business Conduct Committee (NBCC) to designate a Subcommittee composed of members of the NBCC to review Letters of Acceptance, Waiver, and Consent (
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
On March 21, 1994, the Securities and Exchange Commission (SEC) approved amendments that provide guidelines for communications with the public about variable life insurance and variable annuities (Guidelines). The Guidelines govern the preparation of, and communication with the public through,
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesinstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsTraining
Executive Summary
The Securities and Exchange Commission (SEC) recently published for comment amendments to Rule 10b-10 and a proposed new rule, Rule 15c2-13, under the Securities Exchange Act of 1934. The proposed amendments to
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceOperationsTraining
Executive Summary
Effective April 29, 1994, the Department of the Treasury (Treasury) issued regulations under the Government Securities Act of 1986 (GSA) to require broker/dealers to initiate buy-in procedures for mortgage-backed securities that are in a fail-to-
Comment Period Expires June 15, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalInternal AuditLegal & ComplianceOperationsResearchSyndicateTradingTraining
Executive Summary
The Board of Governors of the NASD is soliciting member comment on a proposed Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice whereby it would be considered a violation of just and