Public GovernorVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank GroupGovernor Since 2019Committees: Executive Committee, Regulatory Oversight Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceVice President and Chief Risk, Legal and Administrative officer, Multilateral Investment Guarantee Agency, World Bank
In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:
Tuesday, December 24, 2019 Early Close
Wednesday, December 25, 2019 Closed
Wednesday, January 1, 2020 Closed
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
During the past year, the Association has taken an active role in attempting to assist members in their obligation to comply with the complex requirements imposed by both the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") and the Interest and Dividend Tax
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of September 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SINC.GB
Sinclair Broadcast
10.000
9/30/05
OWI.GA
Owens-Ill
10.
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. FINRA has published several notices to remind firms to use PDM to review their TRAQS users. As a final reminder, firms are
Warning: Rule #22-08 is currently the subject of a deceptive advertising attack. Let's play "which of these is not like the others": * Target Date Funds * Funds using cryptocurrency futures * Reverse Convertible Notes * Volatility-Linked Funds The answer is "Target Date Funds". I don't use this, I don't intend to use this; but it's an old tool that's
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
Cryptocurrencies do not need regulation, as they are already transparently self regulated by the code that powers each blockchain. This code is publicly visible and transparent for all. They are also secure through cryptography, stronger than that which masks transactions and account information at traditional banks and brokerages. Furthermore, Bitcoin is the single best performing asset of the
The most fundamental ideology if the US Citizen experience is having the ability to have your own rags to riches story. It involves making your own way, picking yourself up by your bootstraps and a certain kind of grit. Really honestly what makes this any different than say a caste system? Modern day serfdom? Indentured servitude? I implore you to think long and hard about this. And I dont mean
