- Getting FINRA's Take on Gifts. Hall, Alison // Financial & Insurance Meetings;Sep/Oct2008, Vol. 44 Issue 5, p24
An interview with Maribel Gerstner, chief operating officer for Allstate Financial Services is presented. When asked about interpretations of the gifts rule, she clarified that gifts to celebrate a life event do not count toward the $100 limit if the firm's registered rep is paying, but they do...
- Allstate jumps aboard investment bandwagon. Cardona, Mercedes M. // Advertising Age;11/6/2000, Vol. 71 Issue 46, p98
The article announces a name change for Allstate Life Group of Cos. into Allstate Financial in November 2000 as part of the company's strategic reorganization program. The company also announced the refocusing of its marketing strategy for savings and investment products as part of its corporate...
- What's `best execution'? Regulators raise the bar. Horowitz, Jed // Investment Dealers' Digest;03/16/98, Vol. 64 Issue 11, p12
States that the best-execution examinations of broker-deals, will be set up by the National Association of Securities Dealers. How brokers fulfill their best-execution duties; Comments from Eugene Lopez, vice president of market services for the Nasdaq Stock market; Detailed information on...
- NASD Grants Some Exemptions on G-37 Two-Year Bans. Hume, Lynn // Bond Buyer;9/18/2001, Vol. 337 Issue 31225, p5
Reports on exemptions granted to broker-dealer firms from Rule G-37's two year ban on municipal security business by the U.S. National Association of Securities Dealers (NASD). Letters released by the NASD; Complaints of industry officials.
- Snail Mail Too Slow, NASD Going Digital on Bulletins. Ring, Niamh // American Banker;10/1/1998, Vol. 163 Issue 188, p8
Reports that the National Association of Securities Dealers (NASD) plans to stop automatically mailing free copies of its periodicals to broker dealers. Reason for this decision; When the NASD will require every firm to have an Internet e-mail address; Comments made by R. Clarke Hooper,...
- Data-sharing proposal diluted; scope widened. // American Banker;3/17/1997, Vol. 162 Issue 51, p2
Reports on the proposal of a restriction on sharing of customer information by the National Association of Securities Dealers (NASD). Effect on all member brokers; Similarity of original proposal; Allowing of all NASD members and related affiliates to share information; Protection of consumers.
- New NASD compliance approach alerts firms to possible shortcomings. Hume, Lynn Stevens // Bond Buyer;11/24/97, Vol. 322 Issue 30279, p1
Reports on the compliance program to be launched by National Association of Securities Dealers in 1998 which is aimed at preventing oversights and abuses by securities dealers. Examination of whether dealers are complying with Municipal Securities Rulemaking Board rules as a part of the...
- `Volatility ratings' get go-ahead from NASD board for a pilot program. Kruger, Daniel // Bond Buyer;12/12/97, Vol. 322 Issue 30291, p6
Presents information on a pilot program approved by the National Association of Securities Dealers (NASD) board on December 11, 1997. Benefits of the pilot program to brokerage firms; Comments made by Frank G. Zarb, the association's chairman and chief executive officer; Information on the use...
- NASD adds five more to chairman's group. // Bond Buyer;06/03/98, Vol. 324 Issue 30406, p6
Reports on the addition of five senior officers to the office of the chairman of the National Association of Securities Dealers Inc.