INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
CE Inactive Individuals
E-Mail Notifications
Regulatory Element Requirement Windows
Executive Summary
NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports
INFORMATIONAL
The PORTAL Market
Effective Date: June 16, 2001 For PORTAL Equity Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization Testing
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading and Market Making
Decimalization
Executive Summary
Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 22, 2001, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
AES.GI
AES Corp
8.875
02/15/11
CPN.GJ
Calpine
