CompanyCounselor: Securities-generally Archives

Securities-generally Archives

Feb14	Communications Policy Linda Chan February 14, 2008 Know More: Securities-generally Insider trading, securities generally The following is not meant to be legal advice. Many companies have policies on who can communicate with external parties. These policies are important to ensure a company deals consistently with market professionals. Market professionals include securities analysts, fund managers, brokers... Continue Reading Posted at 11:03 PM \| Permalink \| Comments
Feb12	MarketWatch Linda Chan February 12, 2008 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... Continue Reading Posted at 9:11 PM \| Permalink \| Comments
Jan10	Amendments to Rules 144 and 145 Linda Chan January 10, 2008 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... Continue Reading Posted at 8:30 PM \| Permalink \| Comments
Nov11	NASD Restoration Project Linda Chan November 11, 2007 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... Continue Reading Posted at 9:29 AM \| Permalink \| Comments
	Function of Custodial Bank Linda Chan November 11, 2007 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... Continue Reading Posted at 9:28 AM \| Permalink \| Comments
Nov 9	Certified Life Underwriter Linda Chan November 9, 2007 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... Continue Reading Posted at 7:19 PM \| Permalink \| Comments
	Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc. Separate Phone Lines Liquidation Report NASD Rule 2310 on Suitability Negative Response Letters Licensing Bureau Insurance Department NASD Rule 1120 U-5 Full Terminations Securities Firms Temporary Agent Transfer How to Obtain U-5? Studying Valuation Derivative Suit Stock Options Basics Part II Stock Options Basics Part I Resources for Keeping Up With Securities Laws SEC Adopts FAS 123R Practice NASDAQ National Market Name Change Corporate Bonds Too Much Cash Securities Terminology EBITDA NYSE Rule 80A (Sidecar Rule) Option Strategies Classification of Stocks Fundamentals of Equity Securities Fundamentals of Equity Securities EU Studies Competition in Securities Trading Markets

Securities-generally Archives

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