SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your
FIPS
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
FIPS
As of May 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ENQ.GD
Amer Media Operations Inc.
10.250
05/01/09
ACVC.GA
American Achievement Corp. Ser B
11.625
01/01/
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
I strongly oppose these proposed restrictions on my right to buy and sell investments as I choose. Don't impede my ability to act with bureaucratic testing and trying to impose requirements with the general terminogy of "complex trades", cooling off periods, testing (really?), prove my net worth, training, etc. I shouldn't be required to tell you I'
Before investing in stocks, also referred to as equities, take time to gather the information necessary to make an informed investment decision, a process commonly known as due diligence.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 20, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,077:
Symbol*
Company
Location
CNTX
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 18, 1987, the following 8 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,018.
Symbol*
Company
Location
APAS
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
