Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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MSRB Requests Comment On Consolidated Registration Rule

The Municipal Securities Rulemaking Board, or MSRB, is seeking comment on proposed rule changes that would set forth in a single rule the requirements to and process by which brokers, dealers and municipal securities dealers...more

8/20/2013 - Brokers Consolidated Registration Rule MSRB Municipalities Registration Securities Dealers

NYSE Proposes Modifications To Charges To Issuers For Proxy Distributions

The NYSE has proposed amendments to NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual. Those rules provide a schedule for the reimbursement of expenses by issuers to NYSE...more

2/20/2013 - Brokers Issuers NYSE Proposed Amendments Proxy Materials Reimbursements

FINRA To Require BrokerCheck Link On Internet Advertising

Financial Industry Regulatory Authority, Inc., or FINRA, has filed a proposed rule change with the SEC to amend FINRA Rule 2267 (Investor Education and Protection) to require that FINRA members include a prominent...more

1/8/2013 - Advertising BrokerCheck Brokers Dodd-Frank FINRA Internet SEC Social Media

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