SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Systems
Trading
Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995.
Overall Conclusions
Based on its Review, the Select Committee concludes that the NASD® has discharged its self-regulatory responsibilities, not of course with perfection or
ROUTE TO
Senior ManagementLegal & ComplianceOperationsRegistrationOther
EXECUTIVE SUMMARY
In response to member inquiries, the NASD is publishing guidelines that apply to the employment of unregistered persons to contact prospective customers. Unregistered persons may extend invitations to firm-sponsored events and inquire whether the prospective customer wishes to discuss
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
As of May 25, 1994, the following bonds were added to the Fixed Income Pricing System. These bonds are not subject to mandatory quotation:
Coupon
Symbol
Name
Maturity
AKST.GA
AK Steel
10.750
4/1/04
AMI.GG
Amer Med Int'l
8.250
4/1/08
CCB.GA
Coca Cola
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 30, 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
DLMH.GA
Delaware Mgmt. Holdings
10.250
3/15/04
BVLF.GA
There are several regulatory implications that firms may wish to consider when establishing a presence in the cloud. It is important to keep in mind that although a firm may shift its technology infrastructure to a cloud environment, all of the regulatory requirements that are applicable in an on-prem environment continue to apply. However, cloud-based applications may contain some unique
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of July 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
FERL.GB
Ferrellgas, L.P.
7.875
8/1/01
BYD.GA
Boyd Gaming
10.750
9/1/03
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
