Displaying 2091 - 2100 of 33964 Results
SR-FINRA-2016-011
Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
Notice to Members 01-55
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of June 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADVP.GA AdvancePCS 8.500 04/01/08 AES.GJ AES Corp 8.
Name Not Public
Exemptive relief is granted based on: representations that at the time of the contributions the individual was not employed by the firm, was not an MFP and was not seeking employment as an MFP; the firm already had a significant business relationship with the City of which the contribution recipients are issuer officials (as defined); the individual has attempted to obtain the return of the contributions; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from involvement in municipal securities business with the City for a period of time.
Notice to Members - July 1999
Updates.
SR-FINRA-2016-045
Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
Notice to Members 99-53
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered
Notice to Members 99-54
Comment Period Expires July 30, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund
Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Notice to Members 99-55
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary This Notice to Members
Information Notice – 12/5/16
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)