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Order Approving Proposed Rule Change to Adopt FINRA Rule[removed]Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook (Release No[removed]; File No. SR-FINRA[removed])
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Document Date: 2009-01-15 18:47:22

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File Size: 436,67 KB

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Company

Securities Dealers Inc. / Financial Regulatory Authority Inc. / Plexus Consulting LLC / Financial Industry Regulatory Authority Inc. / /

Movie

Conflict of Interest / /

Organization

NASD IM / Associate General Counsel / Securities Industry and Financial Markets Association / National Association of Securities Dealers / Securities and Exchange Commission / Division of Trading and Markets / FINRA / /

Person

Amal Aly / Philip Shaikun / Florence E. Harmon / Peter C. Chepucavage / /

Position

broker-dealer / analyst / General Counsel / Deputy Secretary / Vice President / Managing Director / /

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