NASD Regulation today announced a disciplinary settlement in which it fined Tower Square Securities, a subsidiary of Citigroup with 700 brokers, $200,000 and ordered the firm to make $4.3 million in restitution to a Louisiana Public School System...
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This section is a great location to display press releases pertaining to real estate. Location, location, location...this is it! The best location to announce special properties for sale or auction, new hires,job promotions, awards, etc. If you...
The NASD received 363 comments on its proposed detailed set of rules governing how brokers can correct inaccurate customer dispute information on their CRD records, the NASD told Registered Rep. Magazine. The comment period ended Tuesday after...
The World of Registered Representatives Insights and Opportunities for Brokerage and Investment Management Firms Table of Contents About This Book Executive Summary Chapter 1:Segmenting the World of Registered Representatives Chapter 2:Critical...
Progress Of Total Return Legislation By Lyman W. Welch Sidley Austin Brown & Wood, Chicago The trend in evolution of total return legislation suggests that safe harbors and procedural limitations are advisable to protect the trustee from liability...
