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NASDR will release the state investment adviser representative licensing system.
The Department has referred the case to the SEC, the California Department of Justice, the California Treasurer's Office, the NASDR, and NASAA for further enforcement under their respective jurisdictions.
dollars; -- Regulation by NASDR in collaboration with The Quebec Securities Commission (CVMQ); -- Launching of Nasdaq Canada Web site (www.
This will result in a dramatically improved quality of regulation operating continuously in a manner approaching real-time regulation," said NASDR vice president Frank J.
Management is working closely with NASD Market Making firms sponsoring IMSI's return and anticipates once the NASDR (Regulations Division) receives notification that IMSI's filings have been approved by the SEC, its shares can then be re-listed.