Financial Services Industry
Industry: Email Alert RSS FeedACLI decries NASD plan to register branches.(Short Interests)
Investment News, September, 2004
Byline: Sara Hansard WASHINGTON - A proposal by NASD to set up a system for broker-dealers to uniformly register their branch offices electronically with regulators will hurt brokers affiliated with life insurers, according to the American Council of Life Insurers in Washington. The council registered its objection to the proposal in a comment letter filed to NASD.
The proposal, made in August, would revise the definition of branch offices and allow brokerage firms to register them electronically with NASD, the New York Stock Exchange and state securities administrators. NASD's Central Registration Depository would administer the system. Carl Wilkerson, ACLI's vice president and chief counsel, said in his comment letter that NASD's...
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