TGL WHAAAAAAAT! Alerts, thoughts, discussion. Message Board

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Microcap & Penny Stocks : TGL WHAAAAAAAT! Alerts, thoughts, discussion.

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To: Laura E. who wrote (73705)	12/7/2000 3:20:40 PM
From: Jim Bishop	Read Replies (2) of 150070

NASD seeks rules requiring disclosure of conflicts NEW YORK, Dec 7 (Reuters) - The National Association of Securities Dealers' (NASD) board of governors passed a resolution urging financial professionals to disclose conflicts of interests during public appearances, the regulatory group said on Thursday. ``It is important for investors to have confidence that a recommendation made by an analyst, or other financial services professional, is based solely on the merits of the investment and not that person's financial interest,'' NASD chief executive Robert Glauber said in a statement. The rules would affect securities workers such as analysts who go on television to plug stocks of companies their firm might be advising without disclosing the relationship. The NASD, parent company of the Nasdaq stock market and the American Stock Exchange, also told its regulatory staff to work with the U.S. Securities and Exchange Commission and the New York Stock Exchange to develop parallel disclosure rules.

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