FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 22, 2000, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ACRP.GA
Actuant Corp
13.000
05/01/09
AGY.GC
INFORMATIONAL
Anti-Money Laundering
Effective Date: Transactions After December 30, 2002
Draft Form SAR-SF; Comments Requested by: October 4, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Money Laundering
Suspicious Activity Reporting
Executive Summary
On October 26, 2001, President Bush signed into law
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
SEC Approves FINRA Rule Concerning Self-Trades
New Payments for Market Making Certification Requirement for FINRA Form 211
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
April 2014 Supplement to the Security Futures Risk Disclosure Statement
