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
An exemption is granted based on the following: First, the Firm took prompt remedial action by placing Name in an "inactive status" and directing him to not engage in any work for the Firm. Second, you have represented that Name, prior to being hired by the Firm, was not engaged in the solicitation of municipal securities business, as defined in the Rule, and during his Firm employment as an MFP Name did not engage in municipal securities representative activities and did not solicit municipal business. Third, you have represented that the Firm has a long relationship as an underwriter of municipal securities for County #1 and County #2, and the State and neither the hiring of Name nor his Contributions were necessary to obtain municipal securities business from such issuers. Fourth, the Firm has agreed to undertake an education initiative, as described below, for all employees of the Firm's Municipal Securities Group.
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
SUGGESTED ROUTING*
Corporate FinanceInternal AuditOperations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities Investor Protection Corporation has reimposed assessments based on gross revenues. The assessment rate of three-sixteenths of one percent (.001875) went into effect January 1, 1989.
BACKGROUND
Last summer, the Board of
Notice of Annual Meeting of FINRA Firms and Proxy
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In the following document, the National Association of
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is January 30, 1984
Enclosed herewith are proposed amendments to Article III, Section 19 of the Rules of Fair Practice and the Explanation thereto. These amendments have been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, they must
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT
Thank you for that introduction, and thank you all for coming. As all of you know, we are at an important moment in the debate over financial regulation and the future profile of financial markets in the United States, and throughout the world. So I am pleased to have this opportunity to share some of my thoughts about where we've been and where we can hopefully go.
Notice of Annual Meeting of FINRA Firms and Proxy
