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Election Notice – 3/10/16
Annual FINRA Election Cycle and Procedures Overview
Notice to Members 01-54
INFORMATIONAL Minor Violations Of Rules And Late Fees SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Minor Rule Violation Plan Schedule A of the NASD By-Laws Executive Summary On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
SR-FINRA-2016-011
Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
Notice to Members 01-55
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of June 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADVP.GA AdvancePCS 8.500 04/01/08 AES.GJ AES Corp 8.
Name Not Public
Exemptive relief is granted based on: representations that at the time of the contributions the individual was not employed by the firm, was not an MFP and was not seeking employment as an MFP; the firm already had a significant business relationship with the City of which the contribution recipients are issuer officials (as defined); the individual has attempted to obtain the return of the contributions; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from involvement in municipal securities business with the City for a period of time.
Notice to Members - July 1999
Updates.
SR-FINRA-2016-045
Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
Notice to Members 99-53
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Notice to Members 99-54
Comment Period Expires July 30, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund
Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks