SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On September 17, 1990, the United States District Court for the Northern District of Texas, Fort Worth Division, appointed a SIPC trustee for:
DFW Clearing, Inc.3200 City Center II301 Commerce StreetFt. Worth, Texas 76102.
Members may use the "
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On March 7, 1989, the United States District Court for the Eastern District of New York appointed a SIPC Trustee for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in Section 59(i)
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 27, 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
DOHJ.GA
Doehler-Jarvis
11.875
6/1/02
TEXN.GC
Tex-N.M. Power
10.000
7/1/
TO: All NASD Members and Level 2 and Level 3 Subscribers
Three additional securities will join the NASDAQ National Market System on Tuesday, November 13, 1984. These three securities have met the NASDAQ/NMS mandatory designation requirements as of the end of the third quarter and, as required by SEC Rule HAa2-l, automatically are added to NASDAQ/NMS within 45 days of the quarter ending date.
The
Summary
FINRA is soliciting comment on a proposal to amend FINRA Uniform Practice Code Rule 11880 (Settlement of Syndicate Accounts). The proposed amendments would reduce the maximum time for the final settlement of syndicate accounts in a public offering of corporate debt securities from 90 days to 30 days following the syndicate settlement date.
Questions concerning this Notice should be
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article VI, Sections 3 and 4 of the NASD By-Laws to provide for the suspension or cancellation of the registration of an associated person in the
Registration
To register, complete the online form for Week I Registration and/or Week II Registration.
Online registration closes seven days prior to the start of each course. If you experience difficulties registering, please call (800) 321-6273 or contact us via email.
You will receive an email confirmation of your registration shortly after completing the form.
Payment Options
Full
Terrence Bohan is the Vice President of Investigations for Enforcement. In that capacity, he manages Enforcement's investigators located throughout the various FINRA offices nationwide as they investigate potential securities violations and, when warranted, bring formal disciplinary actions against firms and their associated persons. Mr. Bohan also oversees the Forensic Investigations and
