INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of June 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
AVIT.GA
AAVID Thermal Tech Inc.
12.750
I understand the risk of leveraged and inverse funds well and do not want any restrictions imposed on me.
I enjoy investing in some of the leveraged ETF. I am aware of its risks as well as its benefits
I understand the risks of leveraged ETFs very well. There is no reason to restrict trading on theses products to anyone.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of December 30, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
NAT.GA
North Atlantic Trading Inc
11.000
06/15/04
OEI.GA
Ocean Energy Inc
8.875
07/15/07
This will not go over well and will result in many long term issues due to the wealth gap it will exacerbate.
I have complete understanding of the securities I buy and the risks associated with them. From options as well as leveraged ETF s
The ability to freely use stocks, permitted my life to be better
My children have benefited as well
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
Fractional shares offer investors an opportunity to purchase pieces of stock shares. While fractional shares can offer flexibility and convenience, it’s important to understand their associated limitations and how your brokerage firm handles them.
