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Interpretive Letter to Elaine S. Moshe, Gordon Altman Butowsky Weitzen
<p>Secondary market trading in Select Sector SPDR Funds does not violate Rule 2830(c) and (g).<br/></p>
For Your Information - December 1998
Treasury Makes New Mailing Lists Available Via The Internet Recently, the U.S. Department of Treasury (Treasury) allowed interestedparties to sign up for the followingtwo new mailing list notificationpages via the Bureau of the PublicDebt's Web site: One page contains three mailing lists related to government securities market regulation and allows individuals to receive e-mail
Notice to Members 98-98
SUGGESTED ROUTING Senior Management Advertising Legal &amp; Compliance Mutual Fund Registered Representatives Training Executive Summary On November 10, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Interpretive Memorandum 2830-1 (IM-2830-1) to clarify the application of the mutual
Regulatory Notice 14-52
Pricing Disclosure in the Fixed Income Markets Regulatory Notice Notice Type Request for Comment Suggested Routing Compliance Legal Operations Senior Management Trading Key Topics Fixed Income Securities Pricing Information Transaction
For Your Information - December 1997
Clarification Of Special Notice To Members 97-55 In August 1997, the National Association of Securities Dealers, Inc. (NASD®) published Special Notice to Members 97-55 entitled "New Membership Application Rules, New Code of Procedure and Other New Disciplinary Rules," which described, among other things, the new Code of Procedure and when such Rules would apply to a disciplinary
Notice to Members 02-31
REQUEST FOR COMMENT Order Audit Trail System Action Requested By: July 10, 2002 SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Market Making Operations Senior Management Trading Order Audit Trail System Executive Summary NASD is issuing this Notice to Members to solicit comments from members and other interested parties on proposed changes to the OATS
Regulatory Notice 12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
Interpretive Letter to Name Not Public
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
Notice To Members 94-100
SUGGESTED ROUTING Legal &amp; ComplianceOperationsSystemsTrading As of November 28, 1994, the following 37 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,739: Symbol Company Entry Date SOES Execution Level CVTI Covenant Transport, Inc. (Cl A) 10/28/94 500 LION Fidelity Southern Corp. 10/31/94 200 BUMM B.U.M. International, Inc.
Regulatory Notice 12-55
Guidance on FINRA’s Suitability Rule