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News & Commentary
Content tagged with Compliance posted in March 2007
NASD Gives BrokerCheck a Face Lift
News  |  3/19/2007  | 
NASD announced today that it has updated and redesigned its BrokerCheck service -- a public, online service for reporting on the background of NASD member-firms. The update, says the regulator, should provide much-needed improvement in the usability and effectiveness of the service. Speaking from experience, the previous version of the
BIDS Brings On Richard Levin as CCO
News  |  3/19/2007  | 
The Proxy Plan: The Future of Shareholder Material Delivery Is Paperless
News  |  3/19/2007  | 
The future of shareholder material delivery is electronic, and the SEC has laid out the plan to get there.
Cox on SOX: No Need for Amendment
News  |  3/19/2007  | 
SEC Chairman Christopher Cox didn't mince words last week when addressing criticisms of the Sarbanes-Oxley (SOX) albatross. After this week's Chamber of Commerce suggestion that SOX be reeled in, Cox was definitive in his speech that alterations to the
E-Discovery: 100 Days and Counting
News  |  3/15/2007  | 
This past weekend, we passed a milestone -- 100 days since the enacting of the new Federal Rules of Civil Procedure as they relate to eDiscovery. In summary, those Rules attempt to give courts guidance for how to treat digital data and information, in whatever form and context it is in. The Rules try to contain the ever escalating costs that plaintiffs and defendants. So spreadsheets, letters, contracts, e-m
NYSE Asks SEC for Relief from Routing to ADF
News  |  3/2/2007  | 
The New York Stock Exchange (NYSE) asked the Securities and Exchange Commission (SEC) for relief from the trade-through rule because it cannot route orders to certain alternative trading systems and the International Stock Exchange that display their quotes on the NASD Alternative Display Facility. The NYS

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