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June 25th, 2008 at 4:26pm
Date: Wed, 25 Jun 2008 21:20:37 GMT Server: Apache/2.2.2 (Unix) PHP/5.2.5 X-Powered-By: PHP/5.2.5 Connection: close Transfer-Encoding: chunked Content-Type: text/html
Proposed Rules Title 7 a47
This is just a sample of the content found on this website. Please visit the website to read the entire page. " TITLE 7. BANKING AND SECURITIES Part 7. STATE SECURITIES BOARD Chapter 107. TERMINOLOGY 7 TAC §107.2 The Texas State Securities Board proposes an amendment to §107.2, concerning definitions. The proposal would amend the rule to replace the definition of NASD with a definition for FINRA. This change reflects the creation of FINRA (Financial Industry Regulatory Authority) from the merger of NASD and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange. Micheal Northcutt, Director, Registration Division, and Benette Zivley, Director, Inspections and Compliance Division, have determined that for the first five-year period the rule is in effect there will be no foreseeable fiscal implications for state or local government as a result of enforcing or administering the rule. Mr. Northcutt and Mr. Zivley also have determined that for each year of the first five years the rule is in effect the public benefit anticipated as a result of enforcing the rule will be an accurate reference to an industry organization. There will be no effect on micro- or small businesses. There is no anticipated economic cost to persons who are required to comply with the rule as proposed. There is no anticipated impact on local employment. Comments on the proposal to be considered by the Board should be submitted in writing within 30 days after publication of the proposed section in the Texas Register. Comments should be sent to David Weaver, State Securities Board, P.O. Box 13167, Austin, Texas 78711-3167, or sent by facsimile to (512) 305-8310. The amendment is proposed under Texas Civil Statutes, Article 581-28-1. Section 28-1 provides the Board with the authority to adopt rules and regulations necessary to carry out and implement the provisions of the Texas Securities Act, including rules and regulations governing registration statements and applications; defining terms; classifying securities, persons, and matters within its jurisdiction; and prescribi" .... read entire page 0 |
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