Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading and Market Making
Decimalization
Executive Summary
Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 22, 2001, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
AES.GI
AES Corp
8.875
02/15/11
CPN.GJ
Calpine
Upcoming FINRA Board of Governors Election
INFORMATIONAL
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Best Execution
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Notice to reiterate the best execution obligations that apply to member firms when they receive, handle, route for
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
INFORMATIONAL
Performance Fees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Rule 2330
Performance Fee Arrangements
Investment Advisers
Executive
Q1. Is a firm required to report on the OBS the market value of underwriting commitments entered into on a “best efforts” basis?
A1. No. Underwriting commitments entered into on a “best efforts” basis are not required to be reported on the OBS.
Q2. If a member firm enters into an agreement with a customer or other party, whereby it commits to lend up to a specified dollar amount, whether such
