the electronic access and trade agreement to reduce the time and cost of negotiating electronic access agreements. For use by merchant brokers who offer customers access to e-commerce services. Addresses the common problems that arise when providing electronic trading services by brokers to clients, such as bond. B that the customer or some authorized users only have access to online trading services through certain access methods. A joint communication on trade federations, which were created to manage counterparty risk across different types of financial products, by creating widespread sectoral management agreements to reduce financial risk, policies and procedures recommended for secondary market transactions in Section 3 (c) (7) Securities Guidelines for Secondary Market Trading Procedures , where titleholders are « eligible buyers » who are exempt from regulation under the Investment Corporations Act 1940. This brochure, intended to illustrate the known concerns of advocate associations, will help SIFMA members understand the requirements of antitrust legislation and minimize the risks of cartels and abuse of dominance related to SIFMA-sponsored activities. While cartel and abuse legislation recognizes that trade associations make many positive contributions to the U.S. economy, the mere fact that trade associations bring together competitors risks creating agreements that raise concerns about cartels and abuse of dominance. Information and documentation on swaps and other derivatives.
Follow the links below to view the documents in SIFMA`s documentation and documentation library. IPO Certification – Certificate for The Purchase of First Offer Securities (NASD Rule 2790) A certification form to assist in the collection of customer representatives required by NASD Rule 2790 that prohibit a member company from selling a new issue to an account in which a person with reduced mobility has a market share. Revised Memorandum and Procedures For the entry of the book, the procedures for filing securities are included under Rule 144A. For use by issuers that unintentionally fall within the definition of an « investment company » under the Investment Company Act of 1940. Section 16 Letter of Authorization and General Information A draft standard approval form for use in connection with Section 403 of the Sarbanes-Oxley Act 2002. The law requires that « insiders » of sovereign issuers declare transactions on the issuer`s shares within two business days of the end of the month.