Insurance for Theft From Brokerage, Investment and Insurance-Type Accounts

Stockbroker Law - Monday, April 22, 2013
Insurance for Theft From Brokerage, Investment and Insurance-Type Accounts

 
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FINRA Addresses Complex and Non-Traditional Investments

Stockbroker Law - Friday, April 19, 2013
FINRA Addresses Complex and Non-Traditional Investments

 
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Whistleblower Protection Under the Procedures of the Securities and Exchange Commission

Stockbroker Law - Thursday, April 11, 2013
Whistleblower Protection Under the Procedures of the Securities and Exchange Commission

 
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Supervisory Requirements Under NASD Notice to Members 12-03 Relating to Complex Products

Stockbroker Law - Monday, April 08, 2013
Supervisory Requirements Under NASD Notice to Members 12-03 Relating to Complex Products

 
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Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

Stockbroker Law - Tuesday, April 02, 2013
Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

Regulatory Notice 12-50 defines other alternative order types, such as a “stop quotation order” or “stop quote order” or an alternative order type that triggers transactions using a quotation at the stop price, which requires separate written disclosures to the customer in paper or electronic form prior to the placement of such alternative orders, including a description of any such alternative order type and a specific description of the triggering event. 


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