SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On February 24, 1992, the United States District Court for the District of Kansas appointed the Securities Investor Protection Corporation (SIPC) trustee for:
Hyer, Bickson & Hinson8900 State Line, Suite
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 11, 1991, and Thanksgiving Day, Thursday, November 28, 1991. On
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
There are nine categories of reports currently available on the Report Center:
Corporate Financing
Cross-Market Supervision
Disclosure
Equity
MSRB
Online Learning
Options
Risk Monitoring
TRACE
Unread Reports
The Unread Reports section contains a list of the most recent reports available to you that you have not yet viewed. The list of reports (displays only the most recent version
SUGGESTED ROUTING*
MunicipalOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day and Thanksgiving Day.
On Friday, November 11, the NASDAQ System and the exchange markets will be open for trading. But, it will not be
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 15, 1987, the following 5 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,066:
Symbol*
Company
Location
CLHB
Laura is a single mother who earns less than $40,000 per year. In 2016, Laura, who had little investing experience, decided to invest in the stock market. She met with a broker and, at his suggestion, opened a brokerage account and deposited approximately $13,500—which constituted almost all of her savings. Less than a year later, Laura’s account had lost more than $9,000. Yet, Laura’s broker had
Comment Period Expires: July 15, 1997
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Research
Systems
Trading
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
