Saturday, August 16, 2003
If you deal with the SEC, NASD, NYSE, CFTC, NFA, CBOT, CME, BOTCC, OCC, CHX, PCX, AMEX, PHLX, EUREX or CBOE (or any combination thereof), you're in the right place.
There's a wealth of securities law information to be had at AS, not to mention help with the SEC's FAQ concerning the nonapplication of certain AIRs to auditors of non-issuer BDs and IAs. Light too is shed on many another TRICKY concept, IYKWIMAITYD.
Unless otherwise expressly stated, all original material of whatever nature created by Denise M. Howell and included in the Bag and Baggage weblog and any related pages, including the weblog's archives, is licensed under a Creative Commons License.