Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
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Good morning, and thank you, Professor [Reena] Aggarwal for that kind introduction and the invitation to join you today. Under your leadership, Georgetown’s Center for Financial Markets and Policy has come to be an important forum for discussing current policy and regulatory issues facing the global financial markets. We all owe you and your colleagues at the Center a
I am here today to tell you about the NASD’s recently proposed rules governing analyst recommendations. In light of what we have heard today and in the weeks following the Enron revelations, I think you will agree that these rules will help American investors.
Executive Summary
On November 8, 1995, in Rel. No. 34-36466; SR-NASD-95-45, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 4 of the NASD® By-Laws to conform the NASD's eligibility criteria to changes adopted by Congress in 1990 to the statutory disqualification provisions found in Sections 3(a)(39) and 15(b)(4) of the Securities Exchange Act of
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of November 20, 1995, the following 76 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,946:
Symbol
Company
Entry Date
SOES Execution Level
ARGL
Argyle Television, Inc. (Cl A)
10/24/95
1000
ETEC
Etec
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of October 20, 1995, the following 82 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,913:
Symbol
Company
Entry Date
SOES Execution Level
ANMWV
Advanced NMR Systems, Inc. (Wts 8/30/00 WI)
9/21/95
200
BVAS
Bio-
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of July 27, 1995, the following 72 issues joined the Nasdaq National Market, bringing the total number of issues to 3,829:
Symbol
Company
SOES Entry Date
Execution Level
BRGP
Business Resource Group
6/28/95
500
NERAY
Nera AS (ADR)
6/28/95
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Mutual Funds Transactions
Breakpoints
Executive Summary
Mutual funds that are sold with front-end sales loads often offer investors the opportunity to pay reduced sales loads under a variety
Thank you for that introduction, and thank you all for coming. As all of you know, we are at an important moment in the debate over financial regulation and the future profile of financial markets in the United States, and throughout the world. So I am pleased to have this opportunity to share some of my thoughts about where we've been and where we can hopefully go.
