Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
On March 3, 1998, the Securities and Exchange Commission (SEC) approved changes to the Continuing Education rules of the National Association of Securities Dealers
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of March 25, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
AMSD.GG
American Standard Inc
7.125
02/15/03
AMSD.GH
American Standard Inc
7.625
02/15/10
KVCO.GA
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).
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Executive Summary
This Notice is to remind firms that registered persons whose registrations become inactive as defined in Rule 1120 of the National Association of Securities Dealers, Inc. (NASD®) Membership and Registration Rules (Continuing Education Requirements), and who
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
It’s an annual rite for many families—the summer road trip. Travel experts offer road-trip survival tips, from tuning up the car to keeping your cell phone charged. Good preparation is also essential to a successful financial road trip. For this journey, one of the best places to begin is with an emergency fund.
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 21, 1998,
SEC Approves Amendments to Rules Governing Communications With the Public
