Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
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Corporate Finance
Executive Representatives
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Internal Audit
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Municipal
Mutual Fund
Operations
Options
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Executive Summary
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal &
CRDIndividual Name A5429958BARBARA JEAN ABADI5251101YOUSEF ABBASI1879052JOSEPH ABBONDANTE5239825JOANNA ABDELHADI307EMMETT MAURICE ABERCROMBIE1610607ANDREW MARTIN ABERN4162073JOSH RAY ABERNATHY2987570EUGENE GILBERT ABEYTA, JR4311057ANTHONY RICHARD ABNER2733649MAURICE WAYNE ABNEY3273075AMR MOSTAFA ABOULMAGD6140331CRYSTAL DAWN ABRAHAM4412506SEYMOUR ISAAC ABRAMOWITZ4661358LISA
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
