SUGGESTED ROUTING
Senior Management
Advertising
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Executive Representatives
Government Securities
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Insurance
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Municipal
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Executive Summary
The purpose of this Special Notice to
INFORMATIONALNominees for NASD Board of GovernorsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesSenior ManagementNASD Board of GovernorsExecutive SummaryThe Annual Meeting of NASD members will be held on January 4, 2005.The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on or about November 29, 2004.The individuals nominated
Summary
FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
Notice of SFAB Election and Ballots
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 22, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AXTO.GD
Abraxas Petroleum Corp
11.500
11/01/04
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
