INFORMATIONAL
NASD Board Of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on May 15, 2000.
Are you considering exchanging a variable annuity that you currently own with a new one? Replacing one variable annuity with another should involve an analysis and comparison of the complex features of each security. You should exchange your annuity only when it is the smartest move for you.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for inadequately supervising firm-wide internal "flash" emails sent by its research analysts to convey information about companies and industries the firm covered. These failures created the risk that the flash emails
ACTION REQUIRED
Member Contact Information Update
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Senior Management
Members/Contact Information
Executive Summary
National Association of Securities Dealers, Inc. (NASD®) member firms must update their Member Firm Contact Questionnaire (NMFCQ or Contact Questionnaire
As prepared for delivery
Electronic Trading in the Bond Markets
Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.
Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was
INFORMATIONAL
Independent Research Reports
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Advertising And Sales Literature
NASD Rule 2210
Research Reports
Executive Summary
On January 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®)
Rulemaking item discussed at the May Board meeting include: disruptive quoting and trading activities; gifts, gratuities and non-cash compensation; broadening chairperson eligibility in arbitration; motions to dismiss in arbitration; and panel selection 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 March 22, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AGFE.GA
AmeriGas Partners/Eagle Financial Corp
10.000
04/15/06
CSAR.GA
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
New research suggests that seniors may be particularly vulnerable to the effects of heightened emotions on decision making. Researchers at the Stanford Center on Longevity, FINRA Foundation and AARP found that inducing emotions, such as excitement and anger, in older adults increased their intention to buy falsely advertised items.
