Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the West Region and New York Region. The nominees, nominated for two-year terms beginning in
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products.
ACTION REQUESTED
Expungement
Comment Period Expired December 31, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Central Registration Depository System
Expungement
Executive Summary
The
INFORMATIONAL
Operations
Effective Date: September 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
ACATS Rules
Uniform Practice Code
Executive Summary
On September 12, 2001, the Securities and Exchange Commission (SEC)
INFORMATIONAL
Terrorist Activity
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Office of Foreign Assets Control
Terrorist Activity
Executive Summary
At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 1501, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALWA.GA
Alamosa Delaware Inc
12.500
02/01/11
AMR
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the
Regulation Form Filing: New Firm Contacts Screen
INFORMATIONAL
Member Surcharges And Process Fees In Arbitrations
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration Fees
Code of Arbitration Procedure
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
