Displaying 5201 - 5210 of 34834 Results
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 28, 1998, the
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of August 22, 1997, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
BOR.GB
Borg-Warner Security Corp
9.625
03/15/07
FNWH.GA
First Nationwide Holdings Inc
10.625
10/01/04
PRTL.GA
Primus
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, Inc. (NASD®) and other self-regulatory organizations (
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
Kevco Inc
10.375
12/01/07
AMMB.
Use the New Organization SAA Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program.
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).