SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
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Variable Contracts
As of December 22, 1998, the following bonds were added to the Fixed
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective July 1, 1998, tier sizes for 520 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more
In the Showtime television series “Billions,” the ambitious U.S. attorney Chuck Rhoades, played by Paul Giamatti, is certain that a fictional hedge fund manager Bobby Axelrod, played by actor Damien Lewis, is guilty of insider trading.
“What have I done wrong? Really? Except make money. Succeed,” Axelrod says in his defense in an episode.
There isn’t a clear hero and villain in the television
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of May 22, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
AES.GB
AES Corp
8.375
08/15/07
AES.GC
AES Corp
8.500
11/01/07
AES.GD
AES Corp
8.875
11/01/
Beginning Thursday, June 1, 2017, Luminex (MPID:LMNX) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF).
Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Friday, July 3, 1998, in observance of Independence Day. "Regular way" transactions made on the business days noted below
Last week, we had the pleasure of hosting many of you at our Annual Conference—an event attended by more than a thousand individuals from around the country. I enjoyed meeting with members representing every corner of our industry and learning about the opportunities and challenges ahead for investors, the markets, and the brokerage industry.
Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
