...from the Investment Bankers Association of America, the National Association of Investment Companies, the National Association of Securities Dealers, Inc., and the New York Stock Exchange, commenting on the proposed bill, and also a letter of the Investment Counsel Association of America....

...from the Investment Bankers Association of America, the National Association of Investment Companies, the National Association of Securities Dealers, Inc., and the New York Stock Exchange, commenting on the proposed bill, and also a letter of the Investment Counsel Association of America....

...and 16 of HR 2481, relating to the Investment Company Act of 1940. 383 Memorandum on statements filed by the National Association of Securities Dealers, Inc., and the New York Stock Exchange.. 417 Memorandum on withdrawal of registration statements and applications for registration 372 Memorandum...

...membership in a national securities association of any prior expulsion or suspension from an exchange. Both the National Association of Securities Dealers, Inc., and the New York Stock Exchange raised this question during discussions with the Industry Liason Committee, and a provision for this...

...designed to protect investors. Additional rules are imposed by the self-regulatory organizations, such as the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc., that registered broker-dealers are required to join. Compliance with these rules, and federal securities...

...discussed in the letter. The comments, along with our views, are also contained in appendixes XII to XVI. The National Association of Securities Dealers, Inc., and the New York Stock Exchange provided informal comments that required no changes to the report. We did our work from August 1989...

...discussed in the letter. The comments, along with our views, are also contained in appendixes XII to XVI. The National Association of Securities Dealers, Inc., and the New York Stock Exchange provided informal comments that required no changes to the report. We did our work from August 1989...

...§ 9.07[3] infra. 6 See NASD and NYSE, "Rulemaking: Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the National Association...Relating to Research Analyst Conflicts of Interest," Exchange Act Release No. 34-45908, 2002 WL 970848 (May 10, 2002). See also "Commission Approves Rules...

...employees against broker-dealers in arbitration. I will ask the Commission staff to forward your request to the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. and ask that they respond directly to you. Response: • SROs routinely review the circumstances surrounding...

...Condition and Results of Operations (January 22, 2002), available at www.aec.gou/rules/other. 10 See Notice of Filing of Proposed Rule Changes by the National...Relating to Research Analyst Conflicts of Interest, Exchange Act Release No. 45526, File Nos. SR-NASD-2002-21; SR-NYSE-2002-O9 (March 8, 2002). 11 The...