FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
INFORMATIONAL
SEC Approves Proposed Rule Change
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Options
Rule 2520Rule 2522
Margin
Options
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC or Commission) approved amendments to National Association
INFORMATIONAL
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In this NASD Notice to Members you will find information on Nasdaq® adding an additional pilot phase to its decimal conversion schedule. A summary of
Thank you, Gerri and Anna, and thanks to everyone for joining us today for the release of the 2015 National Financial Capability Study findings. This study was a tremendous undertaking that could not have happened without the hard work of many people and organizations, including the George Washington University’s Global Financial Literacy Excellence Center. The Center played a large role in this
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WASHINGTON — While Americans as a whole are feeling less financial stress, making ends meet remains a daily struggle for millions — particularly women, millennials, African-Americans, Hispanics, and those lacking a high school education. These findings come from the National Financial Capability Study (NFCS), released today by the FINRA Investor Education Foundation (FINRA Foundation).
REVISED — SUPERSEDES NTM 01-041
INFORMATIONAL
Rules For Arbitrator Challenges
Effective Date: March 8, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Arbitration
Arbitrator Challenges
Executive Summary
On December 8, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SEC Approves Rule Change to Reduce the Clock Synchronization Tolerance for Computer Clocks Used To Record Events in NMS Securities and OTC Equity Securities
INFORMATIONAL
Continuing Education — In-Firm Delivery Of The Regulatory Element
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
NASD Membership and Registration Rule 1120
In-Firm
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of December 26, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
AES.GH
AES Corp
8.750
12/15/02
ASNC.GA
Asat Finance LLC
12.500
11/01/06
