Sec. 6. (a) The Board shall appoint a Finance Committee. The Finance Committee shall advise the Board with respect to the oversight of the financial operations and conditions of the Corporation, including recommendations for the Corporation's annual operating and capital budgets and proposed changes to the rates and fees charged by Corporation.
(b) The Finance Committee shall
Accredited Investor status should be dismissed. Anyone should be given equal opportunity to invest their money as they see fit rather than the rich getting richer (accredited) and the poor staying poor (since they can’t invest in things if they don’t have a large sum of assets or make six figures). If you can gamble legally(anyone) than you should be allowed to buy assets. It’s the same thing…a
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 3, 1985, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,183. These 23 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984:
Symbol
Company
Entry Date
SOES Execution Level
ESTR
ElectroStar, Inc.
12/21/95
200
FRAG
French Fragrances, Inc.
12/21/95
200
HOMEF
Home Centers (DIY),
Limited (Ord Shs)
12/21/95
500
RGNT
Regent Assisted
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On January 24, 1994, the Securities and Exchange Commission (SEC) approved new Section 47, Article III, of the Rules of Fair Practice that requires members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 14, 1992, the Securities and Exchange Commission (SEC) approved an amendment adding new Section 45 to Article III of the Rules of Fair Practice requiring members to send account
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
TRACE Fact Book
The TRACE Fact Book—based on aggregated data as entered into TRACE—is intended to give a historical perspective of the over-the-counter (OTC) U.S. corporate bond, agency debenture, asset-backed and mortgage backed security markets.
Independent Academic Studies
Scholars have published several papers that evaluate TRACE's impact on liquidity, valuation and other aspects of
INFORMATIONALOptions ExemptionSUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperations ManagersSenior Management Options ExemptionTrading Activity Fee Executive SummaryOn May 30, 2003, the Securities and Exchange Commission (SEC or Commission) permanently approved revisions to NASD By-Laws, eliminating the current Regulatory Fee assessed upon NASD members
