SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
Beginning Monday, March 11, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system; it is not expected that clients will see any material differences from the legacy TS platform.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of July 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACCC.GA
Advanced Accessory Corp
9.750
10/01/07
ACF.GB
Amercredit Corp
9.250
02/01/04
ACHD.GA
Amscan
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 22, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AXTO.GD
Abraxas Petroleum Corp
11.500
11/01/04
Dear Sirs or Madams,
I am not sure why you are wanting to stifle individuals that want to take part in the free enterprise system. Your efforts to control an individuals freedom to invest should not be something you decide.
These proposed changes and restrictions is just another example of over reaching, excessive, controlling and evolving socialist government. Free markets, free countries, and free people thrive in a capitalistic system because it works if its allowed to.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST.
As individual investors, we have complete freedom to select and invest in any commodity, not just stocks, but also leverage, options, and futures. This regulation will be in violation of the free market system.
Seriously? [REDACTED]? This really doesnt seem to be aimed at protecting the consumer. Seems to be protecting the current system. Ill pass all the accreditation qualifications, but I oppose regulations that keep regular people from investing in anything they wish.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 3, 1985, 24 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,111. These 24 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Finra Question 1: What implementation period would be appropriate to provide members with sufficient time to make the systems changes necessary to comply with this requirement? My Answer: Change needs to happen as soon as possible Finra Question 2: FINRA is considering whether daily or weekly short interest position reporting would be preferable. What are commenters’ views on the preferred
