Rules and Regs Update

Bassett, Michael
January 2006
Financial & Insurance Meetings;Jan/Feb2006, Vol. 42 Issue 1, p15
Trade Publication
The article presents a summary of the regulatory initiatives in 2006 that could affect the department of every organization. An expanded Conduct Rule 2311 has been proposed by National Association of Securities Dealers that would replace its current noncash-compensation rules enacted in 1999. Concerns expressed by the Securities Industry Association about the new rule are discussed. INSET: COOL TOOL: Tracking Noncash Compensation Online.


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