This data provides comprehensive information for corporate and agency bonds that traded within the past 10 years. Corporate and agency bonds are investor loans to corporations or government-sponsored enterprises other than U.S. Treasury. Learn more about corporate and agency bonds and other bond types.Fixed income data is compiled from multiple sources, including but not limited to TRACE,
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Executive Summary
On June 5, 1995, the NASD issued Special Notice to Members 95-43 (Special Notice) discussing the expansion of the Limit-Order Protection Interpretation (Interpretation) to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from trading ahead of
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) today began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market that had previously operated in the dark. 144A transactions – resales of restricted corporate debt securities to large institutions called qualified institutional buyers (QIBs) – account for a significant portion of the volume in corporate debt securities.
REMA brings together the Office of the Chief Economist and the Office of Financial Innovation
WASHINGTON—FINRA announced today that it has promoted Jonathan Sokobin to Executive Vice President and Head of the newly created Office of Regulatory Economics and Market Analysis (REMA).
Sokobin, previously Senior Vice President and Chief Economist, will remain Chief Economist and a member of FINRA’s
Board Approves Rulemaking Items and Use of 2021 Fine Monies; Meets With SEC Chair Gary Gensler
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) and BATS Exchange1, Inc. announced today that they have jointly ordered Citigroup Global Markets Inc. to pay approximately $1.1 million in connection with short selling ahead of five public offerings of securities, in violation of Rule 105 of Regulation M. The payments include the disgorgement of more than $538,000, plus interest, of unlawful profits and improper financial benefits, and approximately $559,000 in fines.
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Executive Summary
The purpose of this Special Notice to Members is to
Last Voting Date: August 29, 1994
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Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws to prepare for a planned new numbering scheme for the NASD Manual; to correct certain minor errors found in the By-Laws; and to provide for Board approval of future spelling and numbering changes. The last
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to provide interpretive guidance to members regarding NASD®Rule 3050 and, in particular, paragraph (d) of the Rule. Rule 3050 was designed to obligate members to use reasonable diligence in
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
