SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
SEC Approves New Rules Governing Communications With the Public
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT
EXECUTIVE SUMMARY
Participation in the Securities and Exchange Commission-approved Automated Confirmation Transaction (ACT) service will become mandatory for all self-clearing firms during the first quarter of 1990. The
TO: All NASD Members and Other Interested Persons
ATTN: Syndicate Department
LAST DATE FOR COMMENT: JANUARY 30, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on two proposed amendments to Section 66 of the NASD Uniform Practice Code. The first amendment would require syndicate managers of public offerings to provide members of underwriting syndicates with itemized statements of the expenses
Why should an investor use Leveraged Funds? 1) Better Outcomes: Yale professors did a study on the use of leverage on retirement investing from 1871-2004 (1): “By employing leverage to gain more exposure to stocks when young, individuals can achieve better diversification across time. Using stock data going back to 1871, we show that buying stock on margin when young combined with more
Simplifying digital interactions with FINRA to reduce compliance costs and enable more effective compliance programs.
Bitcoin is a popular cryptocurrency, which is a form of electronic cash, in which a ledger of all transactions is stored as a blockchain. In this article we will show how to compile your own local copy of the Bitcoin client, run it, and add custom commands in order to inspect various attributes of the underlying blockchain.
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT
REQUEST FOR COMMENT
New Products Sales Material and
Television, Video, and Radio
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Comment Period Expires May 20, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising
Investment Companies
Legal & Compliance
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rule 2210
Executive Summary
NASD is proposing to amend
Where there is uncertainty, there are always bets—the question is who wins. From horse racing to the price of gold, people have always speculated on uncertainty. Insurance-linked securities (ILS) are financial instruments that allow investors to speculate on a variety of events, including catastrophes such as hurricanes, earthquakes and pandemics.
