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Current Issues |
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SEC Issues Emergency Rule to Curb Short Sales by Forwarded by Mark Stewart Securities, Inc.
SEC November Business Ruling Regulation District
2 Business Conduct Committee of FINRA (Financial Industry Regulatory
Authority) by
Mark Stewart Securities, Inc. Download QuickTime to
view presentation
IR 2.0: Streaming Investor Relations (IR) Workflow for Information & Disclosure Management in the Digital Age by Gold Sponsor Gabe Sandler, Sandler Communications. NASD's Authority to Halt Trading and Quotation Expands to Include All OTC Equity Securities1 About a year ago, Pink Sheets gave up its power to list securities for trading on its system by requiring that all new listings be first approved bit the NASD through 211 applications submitted by sponsoring brokers. and more COMMENTS ON NEW RULING - REGULATION 6660 New York, NY - April 12, 2007 - On March 16, 2007, the authority of the National Association of Securities Dealers, Inc. ("NASD") expanded to include all Pink Sheets securities as well as those quoted and traded in the grey market.2 Before this date, the NASD only had authority to halt trading and quotations in securities quoted on the OTC Bulletin Board ("OTCBB"). That limited authority was found in NASD Rule 6545, which has been expanded and renumbered Rule 6660.3 and more Motion to Oppose the Proposed Merger of NYSE and NASD Regularatory Operations Petition Form for Broker Signatures: Whereas, Members have expressed a concern that the proposed merger of NYSE and NASD will eliminate their rights to vote freely in NASD elections as has been their right for 67 years and more The Impact of SEC's Re-Interpretation of Rule 415, Presented by luncheon speaker George Roth of Securities Compliance Control, LLC The following are excerpts and highlights of the presentation and discussion that followed: The text of Rule 415 -- Delayed or Continuous Offering and Sale of Securities can be found at http://www.law.uc.edu/CCL/33ActRls/rule415.html and more DTC Mandate taken from "Notes from the Chairman Newletter", Continental Stock Transfer & Trust Co.: In the past two months, the New York Stock Exchange (NYSE), the American Stock Exchange (AMEX), and NASDAQ have all applied for and received approval for rule changes which will drastically change the landscape for most public issuers and their transfer agents. As a result and more The Role of Market
Making in the Current Enviroment for Companies
Going Public: Mark Stewart, Stewart Securities, Member NASD, SiPC, MSRB, MPID-MARK, 18101 Von Karman Ave. Ste 330,
Irvine, CA 92612, Summary of Remarks of Founder & Sponsor Dan Donahue, Partner Preston Gates & Ellis LLP before the SCIA on June 4th, 2005. The Impact of Internal Control Reporting on Public-Private Mergers . . . . . and more Summary of Remarks of Sponsor
Steven G. Nelson, Chairman and President of Continental Stock Transfer
& Trust Company, Before the S
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