Notices Subject Index – I

A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | Y

IARD

(see Investment Adviser Registration Depository)

Identity Theft

IN 7/1/09; 08-69

Independent Inventory and Collateral Valuation

10-57

Information and Testimony

13-06

Information Sharing Agreements

Depository Trust & Clearing Corporation; IN 5/26/10

Illiquid Investments

08-30

Inability to Pay

Arbitration Awards; 10-31

Inactive Individuals

Inactive Disclosure Review Registration Status; 04-23

Web CRD Email Notifications; 01-17

Index Options

07-03

Indications of Interest

11-4409-28

Individual Snapshot Report

IN 9/25/2014

Individual Retirement Accounts

13-45; 13-23

Information Barriers

14-28

Initial Margin Requirements

08-60

Initial Public Offerings (IPOs)

Allocations; 13-43; 12-2411-2910-60; 07-34; 03-72; 02-55;
IPO Distribution Manager; 05-65; 04-20
Pricing; 03-72
Quiet Periods; 12-49
Restrictions; 03-79
Special Purpose Acquisition Companies; 08-54
Tracking System; 97-34

Injunctions

02-13; 02-07; 01-36; 97-59

INSITE

(see National Examination Program (NEP) Surveillance)  

Institutional Accounts

12-40; 11-0409-27; 07-27

Institutional Sales Material and Correspondence

05-17

Institutional Securities Activities

05-29; 05-08

Interim Pilot Program

Credit Default Swaps; 09-30

Intermarket Surveillance Group

Automated Reporting Requirements; 97-56

Intermarket Sweep Orders

08-31; 07-39

Outbound; 14-21

Internal Conclusions

11-3211-06

Internal Controls

08-18

Consolidated Financial Account Reports; 10-19

Foreign Corrupt Practices Act Obligations; 11-12

Hedge Funds; 03-07

Internal Inspections

08-0306-1205-67

International Prime Brokerage

07-57

Internet

E-Mail Accounts; 00-14; 98-108; 98-77
Trading; 99-98

Interpretive Letters

08-65

Interpretive Material (IM)

Account Transfers; 01-36
Callable Common Stock; 00-33
Cold Calling; 97-58
Compensation and Mixed Capacity Trading; 01-85
Compliance; 03-29; 01-22
Conduct of Business Abroad; 01-81
Free-Riding and Withholding; 98-48; 97-30
Investment Company Rankings; 97-28
NASD Interpretive Letters; 97-36
Options; 98-49
Public Disclosure Program; 00-16
Taping Rule; 02-61

Interval Funds

Rule Exemptions; 00-53

Introducing Firms

Clearing Agreements; 99-57; 97-79

Customer Account Statements; 07-29
Deficits in Introduced Accounts; 05-38

Obligations; 97-79

Reporting Discrepancies or Inaccuracies; 06-60

Investigations

Self-Reporting; 08-70;

Encryption; 10-59

Investment Adviser Registration Depository (IARD)

15-01

Renewals; 14-4413-3713-0112-4612-01; 11-5111-01; 10-58; 10-02; 09-01; 08-59; 08-01; 07-46; 07-01; 06-5905-73; 04-02; 03-61; 03-01; 02-67; 02-03; 01-75;

Uniform Branch Office Registration Form (Form BR); 05-66

Web EFT; 03-14

Investment Advisers

Designated Investment Adviser Definition; 03-26
Forms; 02-20

Orders From; TRN 8/1/201311-19
Performance Fee Arrangements; 01-24
Registration Renewal; 02-67; 01-75

Investment Analysis Tools

14-30; 04-8602-51

Investment Banking

14-22; 06-52

Conflicts of Interest; 10-60; 09-49

Fairness Opinions; 04-83

Investment Banker Registration; 09-41

New Issues; 13-4312-2411-29

Research Analysts and Research Reports; 07-0405-3404-18

Rule 2711; 03-44; 02-39
Transactions; 02-44
Tying Arrangements; 02-64

Investment Company Securities

09-34; 09-33; 05-04
Cash And Non-Cash Compensation Incentives; 97-50
Performance Information; 00-21
Proposed Compensation Rules; 04-13; 03-54; 99-81
Rankings; 97-28
Sale and Distribution; 04-13; 97-48
Sales Charges; 99-103

Investor Education

09-33; 08-26

Investor Protection

09-33

IPO

(see Initial Public Offerings)

Issuers

Foreign Corrupt Practices Act Obligations; 11-12

Issuer-Directed Securities

10-60; 07-34