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- Compliance with Standards
- The section 301-4 is the Discussion - Compliance with Standards Apart from the general requirement to prohibit the listing of a security not in compliance with the enumerated standards, Section 10Am of the Exchange Act does not establish specific mechanisms for a national securities exchange or a national...
- White papers 2003-04-14
Additional Resources
- SEC Approval of SRO Rules Addressing Research Analyst Conflicts of Interest
- On July 29, 2003, the Securities and Exchange Commission ("SEC") approved the proposed rule changes by the National Association of Securities Dealers, Inc. ("NASD") and the New York Stock Exchange, Inc. ("NYSE") that further address research analyst conflicts of interest in connection with equity research reports, and are designed to...
- White papers 2003-08-06
- My SRO is better than your SRO. (self-regulatory organization) (column)
- My SRO Is Better Than Your SRO I am fascinated by the power struggle that continues to unfold in the financial planning industry. Under a patina of amity, amidst a proclaimed search for unity and within a framework of filial discussion, an unprecedented battle...
- Research articles 1989-08-21
- SRQ and SRO: Voters Have Spoken
- Gwailo submits: "Misery acquaints a man with strange bedfellows." Shakespeare, The Tempest, Act II sc. ii Investors in [[SRQ]] and [[SRO]], two closed-end real estate funds run by Deutsche Bank's asset management arm, have soundly rejected the manager's attempt to liquidate the funds and bury a truly...
- External links 2009-05-22
- Telefonica to complete merger of Eurotel Praha SRO and Cesky Telecom
- Eurotel Praha SRO and Cesky Telecom will be merged by the parent company Telefonica to form Telefonica O2 Czech Republic. The merger is expected to be completed by July 2006.Eurotel Praha SRO and Cesky Telecom will be merged by the parent company Telefonica to form Telefonica O2 Czech Republic. The...
- Research articles 2006-07-01
- NASD Opposes SEC's SRO Plan
- The SEC's SRO rule proposal goes too far for the NASD. The SEC's SRO rule proposal goes too far for the NASD.
- Research articles 2005-07-01
- Congress gets SRO bill for inv. advisers. (self-regulatory organization)
- Congress Gets SRO Bill For Inv. Advisers Congress Gets SRO Bill For Inv. Advisers
- Research articles 1989-08-14
- NASD Opposes SEC's SRO Plan.(National Association of Securities Dealers, Securities and Exchange Commission)(Brief Article)
- The SEC's SRO rule proposal goes too far for the NASD. The SEC's SRO rule proposal goes too far for the NASD.
- Research articles 2005-07-01
- ICFP forms its own SRO alternative. (Institute of Certified Financial Planners, self-regulatory organization)
- ICFP Forms Its Own SRO Alternative The Institute of Certified Financial Planners said it has formed the National Association of Investment Advisers to serve as an alternative self-regulatory organization if Congress approves SRO legislation currently under consideration. The ICFP said it...
- Research articles 1989-08-14
- Any SRO for mutual funds must protect competition, says ACLI. (Mutual Funds).(self-regulartory organization)
- Any proposal to establish a self-regulatory organization for mutual funds should contain protections against anti-competitive behavior by the SRO, says the American Council of Life Insurers. The issue involves the possibility that the Securities and Exchange Commission will consider establishing an SRO for mutual...
- Research articles 2003-02-03
- Techalt, Inc. Announces that Derek Lowe Credits SRO for Helping His Career
- SEATTLE -- Techalt, Inc. (PINK SHEETS:TCLT)("Techalt" the "Company") announces that Stan's Rodeo Ointment ("SRO") and Stan's Blister Cream ("SBR") continue to experience success in Major League Baseball ("MLB"). Derek Lowe ("Lowe"), starting pitcher for the MLB team, the Los Angeles Dodgers, for the past 4 years credits SRO and SBR...
- Research articles 2008-08-25
- Was the SRO Plan Rushed to Press?
- The Securities and Exchange Commission should take more time reviewing its Self Regulatory Organization SRO reform proposals. The Securities Industry Association complains, in a comment letter, that the industry hasn't had enough time to review the plans, some of which are controversial. "The commissioners were advised that the...
- Research articles 2005-02-01
- Taking Sides: No need for an SRO - yet.(Opinion)
- The mutual fund industry doesn't need a self-regulatory organization - yet. In that, Sen. Paul Sarbanes, D-Md., is correct. As reported in this issue (see page 16), Mr. Sarbanes sees no pressing need for a mutual fund industry SRO "at present.'' ...
- Research articles 2004-04-26
- Was the SRO Plan Rushed to Press?(Self Regulatory Organization)(Brief Article)
- The Securities and Exchange Commission should take more time reviewing its Self Regulatory Organization SRO reform proposals. The Securities Industry Association complains, in a comment letter, that the industry hasn't had enough time to review the plans, some of which are controversial. ...
- Research articles 2005-02-01
- Telefonica to complete merger of Eurotel Praha SRO and Cesky Telecom.(CZECH REPUBLIC)
- Eurotel Praha SRO and Cesky Telecom will be merged by the parent company Telefonica to form Telefonica O2 Czech Republic. The merger is expected to be completed by July 2006. The existing brand names Eurotel and Cesky telecom will continue for a few months after the merger....
- Research articles 2006-08-01
- The NASD's Nasdaq Promise.(trends of Self Regulatory Organizations)(Brief Article)
- NASD, aware that the SEC is looking closely at possible conflicts within SRO structures, says it will quickly shed its Nasdaq ownership. In a footnote to its comment letter on the various SEC SRO proposals, NASD said it will divest itself "of an NASD, aware that...
- Research articles 2005-04-01
- Big Board Comes Out Swinging.(Brief Article)
- The Big Board favors the SEC's proposal for rigid SRO rules redefining what qualifies as an independent board. The NYSE, in a recent filing with the SEC, said its current board structure now exceeds the proposed SRO standards. The proposed standards The Big Board favors...
- Research articles 2005-04-01
- Danger & Opportunity: Healthcare, Financial Service Reform Making Headway
- Two of the Obama Administration's top priorities to accomplish by year-end—healthcare and financial services reform—are well on their way to fruition.The Senate Finance Committee passed October 13 its version of healthcare reform, and at press time White House and Congressional leaders were busy trying to meld provisions of five House...
- News items 2009-10-30
- The SEC Raises Stakes in Self-Regulation
- The future of SROs may soon become as heated as the debate over Reg NMS. Dozens of comment letters are now pouring into the Securities and Exchange Commission from trading executives and average investors over the regulators' SRO proposed rule change and The future of SROs may soon become as...
- Research articles 2005-04-01
- NASD's BrokerCheck' is a Fraud
- The NASD tells investors to check up on brokers and firms through its "BrokerCheck" service. According to the SRO, the disciplinary database is the "first resource tool to learn about the ... conduct of NASD registered firms and their registered brokers. The NASD tells investors to check up on brokers...
- Research articles 2004-11-01
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