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As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System, bringing the
Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
FIPS Changes
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FIPS
As of July 20, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASTR.GA
All Star Gas Corp
11.000
08/14/01
AIQ.GA
Alliance Imaging Inc
10.375
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer transactions in distressed securities over a two-year time period. Merrill Lynch was also ordered to pay more than $540,000 in
FINRA today issued new research that provides a deep and focused look at the state of liquidity in the U.S. corporate-bond market.
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a series of proposed rule changes regarding high-speed and algorithmic trading.
The proposals follow FINRA's meeting today, where much of the agenda focused on high-frequency trading and equity-market transparency. The Board also approved initiatives to enhance transparency and
2024 is the third year that Juneteenth is recognized and celebrated as a federal holiday honoring the official abolition of slavery in the United States of America. As history states, President Lincoln abolished slavery with the Emancipation Proclamation in 1863. However, that did not immediately end slavery throughout the United States.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets Inc. $1.85 million for failing to provide best execution in approximately 22,000 customer transactions involving non-convertible preferred securities, and for related supervisory deficiencies for more than three years. FINRA also ordered Citigroup to pay more than $638,000
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 15, 1986, 37 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,307. These 37 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
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