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As of December 30, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
NAT.GA
North Atlantic Trading Inc
11.000
06/15/04
OEI.GA
Ocean Energy Inc
8.875
07/15/07
VC.GA
Vencor Inc
8.625
07
Comment Period Expires: February 16, 1998
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Executive Summary
On December 11, 1997, the National Association of Securities Dealers, Inc. (NASD®) Board of Governors approved the solicitation of comment on a proposed rule that would amend Rule 6530 to limit quotations on the OTC
Blockchain Symposium to Take Place in NYC on July 13
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach Initiative to foster an ongoing dialogue with the securities industry that will help FINRA better understand financial technology (fintech) innovations and their impact on the industry.
“FINRA has long been engaged
Effective Date for Required Use of TRACE for Treasuries Modifiers
Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
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Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 25, 1998, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be subject to the
As prepared for delivery
Good morning, and thank you, Professor [Reena] Aggarwal for that kind introduction and the invitation to join you today. Under your leadership, Georgetown’s Center for Financial Markets and Policy has come to be an important forum for discussing current policy and regulatory issues facing the global financial markets. We all owe you and your colleagues at the Center a
As prepared for delivery
Thank you, Drew [Bowden] for that introduction, and thanks also to IRI for the invitation to speak here today. It’s my pleasure to update you on what we are doing and thinking about at FINRA.
I don’t need to tell anyone in this room how rapidly the legislative and regulatory environment is changing and evolving. We are all seeing it and living it every day. But, many of