FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
ACTION REQUESTED
Intermarket Surveillance Group
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members discusses new uniform provisions regarding the automated reporting requirement for Electronic Blue Sheets (EBS).
Effective August 8, 2001 all members were required to:
(1)
Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
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
Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Columbus Day: Trade Date—Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the
INFORMATIONAL
Exempted Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Exempted Securities
Government Securities
Group Variable Contracts
Non-Cash Compensation
Executive Summary
On July 31, 2001, the
Private Placements and Public Offerings Subject to a Contingency
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available
