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Securities-generally Archives
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Feb14
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Feb12
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The following is not meant to be legal advice. Companies trading on the NASDAQ may know that the press release review process should include an inquiry to see if the information release requires prior alert to NASDAQ Market Surveillance (MarketWatch) if...
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Jan10
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The following is not meant to be legal advice. The SEC made amendments to Rules 144 and 145 under the Securities Act of 1933 (“33 Act"). Under Rule 144, the selling security holders must file Form 144 for sales generally. Prior...
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Nov11
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The following is not meant to be legal advice. Those people trying to look up broker information on the NASD web site may know of the restoration project in 1997. In 1997 there was a meeting between the NASD and...
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The following is not meant to be legal advice.The function of a custodial bank is to pay for and receive securities on behalf of mutual fund companies. There is usually a time limit for payments, such as 3 days settlement...
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Nov 9
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The following is not meant to be legal advice.What is the Certified Life Underwriter (CLU) designation on business cards? According to the NASD, it is ok for a representative to have designations on a business card as long as there...
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Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc.
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