Displaying 2021 - 2030 of 34826 Results
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACPV.GA
Advanta Corp.
7.100
10/23/00
AEII.GA
AEI Resources
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
Good Friday: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Good Friday, April 21, 2000.
INFORMATIONAL
Mutual Fund Performance
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Variable Contracts
Advertising
Mutual Fund Performance
Executive Summary
Recent unusually strong equity market performance helped some mutual funds, particularly those that are heavily
INFORMATIONAL
Single Arbitrator Pilot Program
Effective Date: May 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Arbitration
Direct Communication with Single Arbitrator
Neutral List Selection System
Reduced Hearing Session Fees
Single Arbitration Pilot
Executive Summary
On February 15, 2000,1 the Securities and Exchange
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CRHI.GB
Carter Holdings Inc.
12.000
10/01/08
FMY.GA
Fred
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
Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, May 29, 2000, in
INFORMATIONAL
OATS Limit Order Display Indicator
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Training
Limit Order Display
Order Audit Trail System (OATS)
Executive Summary
The purpose of this Notice is to reiterate to members one of the requirements of the National Association of Securities Dealers, Inc. (NASD®) Rules 6950 through 6957 (Order
INFORMATIONAL
Series 55 Examination
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registration
Trading & Market Making
Training
Series 55 Examination, Equity Trader
Executive Summary
The requirement for Nasdaq® and/or over-the-counter equity traders to pass the Series 55 examination by
INFORMATIONAL
Hard To Borrow List
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Trading & Market Making
Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers