FrontLine Compliance News Archives 2006

Current News | Archives 2011 | 2010 | 2009 | 2008 | 2007 | 2006
 

FrontLine Compliance in the News

• OCT 2006 – Lynch Presents at BD Week's Compliance Conference
• SEP 2006 – BD Week Interviews Lynch About Ad Compliance
• SEP 2006 – George "Chip" Arvantides Joins FrontLine Compliance as Executive VP
• AUG 2006 – FINalternatives article on Hedge Fund Edge program, Page 6 (8/11/06)
• AUG 2006 – FrontLine Compliance Introduces New Hedge Fund Service
• JUL 2006 – FrontLine Compliance President Addresses FRA Conference on Soft Dollar Compliance
• JUN 2006 – FrontLine Compliance Official Launch Press Release

Hot Issues

• ICI 2006 Annual Report
• NASD Report on Examination Findings Regarding Gifts and Gratuities
• Payment Deadline for 2007 registration renewals is 12/8/2006
• Final Amendment to SEC’s Tender Offer Best Price Rule
• Rule 3170 Electronic Filing Requirements for Certain NASD Notices for 2007
• Amendments to NASD Rule 2340 on  Customer Account Statements
• SEC’s Lori Richards speaks on The Process of Compliance
• SEC testimony to Senate on Insider Trading
• Futures Merchant Brokers: SEC proposes changes to Net Capital Rule to match CFTC Rule
• ICI & SIA provide Sample Model Contractual Clauses for Revised IC Rule 22c-2
• BCP’s & pandemic relief: Bond Market Assn & SIA provide comments to NASD
• IAA comments on Executive Compensation Rule
• NASD Webcast: What to Expect When Filing Communications with NASD
• NASD Report Center offers new 3070 Report on Disclosures
• NASD revises sanction guidelines
• ICI supports Credit Rating Agency Bill
• SEC amends fund redemption fee rule
• New NASD Podcast: Life Settlements
• NASD proposes amendments to rules on public offerings
• NASD firms must update NCS contact information by 10/24/06
• ICI comments on proposed changes to MSRB Rule G-21
• SEC adopts Executive Compensation disclosure rules
• SEC provided no-action relief to hedge fund advisors
• SEC approves amendments to NASD Rule 2211 requiring  Principal Pre-Use Approval of certain correspondence
• SEC provides temporary relief from Rules 17a-3 and 17a-25 relating to the NASDAQ Exchange
• New NASD Podcast: Equity Indexed Annuities
• NASD and NYSE Release on US Patriot Act Section 311
• NASD makes changes to certain exam requirements
• NASD Podcast: Outsourcing
• NASD’s Mary Shapiro speaks at SEC Seniors Summit
• NASD proposal on use of NASD name on member firm websites
• SEC seeks amendments to Reg SHO
• Comments on Investment Company Governance Rule due 8/21/06
• U.S. Court of Appeals strikes down Hedge Fund Rule
• SEC Approves new NASD Rule 3210- Short Sale Delivery Requirements effective July 3, 2006
• SEC Approves new Short Interest Reporting Requirements, effective 7/3/06
• NASD Webcast for Registered Representatives: Communications with the Public
• SEC Adopts New Fund of Funds Rules
• NASD Podcast: Understanding Supervisory Controls
• NASD Changes Registration Filing Applications System, effective 7/3/06
• Recent Morningstar White Paper on Mutual Fund Industry
• Robert Errico’s Letter to NASD Member Firms
• Annuity Roundtable Update
• Recent SEC Press Release on Reg NMS
• IAA and ICI issue joint guidelines for subadviser due diligence
• Rule 3013- NTM 06-11
• Branch Office Definition Refined- NTM 06-12
• SEC Chairman Cox testifies before Senate Banking Committee
• Reg NMS- Recent comments by SEC Commissioner Atkins
• Proposed Rule 3060- NTM 06-06
• Sell annuities? Recent NASD webcast on Equity Indexed Annuities