FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
Proxy statements are typically sent in the spring, indicating the start of “proxy season”—when most public companies prepare to hold their annual shareholders meetings. The proxy statements provide information relevant to shareholder votes scheduled for those meetings, including board elections, compensation packages, and shareholder proposals.
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 24, 1986
BACKGROUND
In Notice to Members 85-58, dated August 30, 1985, the NASD solicited comments from members and other interested persons on a proposed new rule (new paragraph (m) Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
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*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on proposed
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has recently issued its views on frequently raised interpretive questions regarding Rules 15c2-4 (the "Rule") under the Securities Exchange Act of 1934 (the "Act
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
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Insurance
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Municipal
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Operations
Options
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Executive Summary
On January 13, 1999,
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
