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FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System1 ("Regulation T") and SEA Rule 15c3-3(n)2 to FINRA for approval.
FINRA provides dispute resolution services for several exchanges that are not able to staff or operate a dispute resolution program. These services include administration of the exchange's member-member, member-investor and member-employer securities-industry related disputes.
Comment Period Expires April 21, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the NASD Board of Governors approved the issuance of a Notice to Members, soliciting comment on a proposal for comprehensive structural changes in The Nasdaq Stock Market™ through the development of
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Adopted by SR-FINRA-2013-053 eff. Feb. 3, 2014.
(a) U.S. Hearing Location
(1) The Director will decide which of FINRA's hearing locations will be the hearing location for the arbitration. In cases involving an associated person, the Director will generally select the hearing location closest to where the associated person was employed at the time of the events giving rise to the dispute, unless the hearing location
Summary
Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional information). These include volume-based discounts, such as breakpoints and waivers, on mutual fund exchanges. Failure to apply these discounts or waivers correctly may
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of June 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ADVP.GA
AdvancePCS
8.500
04/01/08
AES.GJ
AES Corp
8.750
06/15/08
AES.GK
AES
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 Corp
8.500
02/15/11
HAS.GA
TO: All NASD Members
ATTENTION: Officers, Partners, and Proprietors
BACKGROUND
On September 3, 1982, President Reagan signed into law the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA" or the "Act"). The purpose of the law was to raise nearly $100 billion in additional federal revenues through targeted tax increases and reform measures designed to improve taxpayer