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Interpretive Letter to Susan S. Krawczyk, Esq., Sutherland Asbill & Brennan LLP
Hypothetical illustration required by state law does not constitute "sales literature" under Rule 2210.
Notice to Members 00-57
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of July 20, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CHCG.GE Charter Comm Hldgs Cap Corp
Notice to Members 99-82
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance 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 structure. As of July 22,
Election Notice - 10/23/09
Notice of SFAB Election and Ballots
Notice to Members 98-45
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of May 22, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AES.GB AES Corp 8.375 08/15/07 AES.GC AES Corp 8.500 11/01/07 AES.GD AES Corp 8.875 11/01/
Election Notice - 11/21/08
Notice of SFAB Election and Ballots
9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Regulatory Notice 14-44
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015
Notice to Members 98-55
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading Executive Summary On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high