January 1999
Contingency Planning
Although most businesses are working diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things will be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses must realize that there are things beyond their control that could impact various entities in 2000
SPAC "units" often consist of shares and warrants — or a fraction of a warrant. The terms of these warrants can vary greatly. Be sure you understand the terms of the specific warrants you are considering as well as the risks associated with the offering.
The Commodity Futures Modernization Act of 2000 (CFMA) lifted the ban on the trading of futures on single securities and on narrow-based security indices (security futures). Security futures are regulated both as securities and as future contracts, and must be traded on trading facilities and through intermediaries registered with both the SEC and CFTC.
Security futures involve a high
We want a greener America right? The best way to get there may be to make it easier for people to buy NRGD.
This is the Big Oil 3x Bear ETF. The Bull is NRGU.
NRGD is about $100/sh, but if the SEC were to allow fractional share purchases for all Americans of any income level, they could buy 1/100th of a share for $1.
Why is this important? Oil is going to peak and then it's going to
March 1999
Deadline For Completion Of Form BD-Y2K Is Near
The National Association of Securities Dealers, Inc. (NASD®) recently mailed a Form BD-Y2K package to each member firm for completion by April 30, 1999.
The recent amendments to Securities and Exchange Commission (SEC) Rule 17a-5 require all NASD members with minimum net capital requirements of $5,000 or greater as of March 15, 1999,
March 1999
Deadline For Completion Of Form BD-Y2K Is Near
The National Association of Securities Dealers, Inc. (NASD®) recently mailed a Form BD-Y2K package to each member firm for completion by April 30, 1999.
The recent amendments to Securities and Exchange Commission (SEC) Rule 17a-5 require all NASD members with minimum net capital requirements of $5,000 or greater as of March 15, 1999,
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Whether you’re a military veteran or transitioning service member exploring new opportunities or a military spouse seeking a flexible career, the financial services industry offers many job paths. Get a head start today by taking the Security Industry Essentials® (SIE®) Exam.
This introductory-level exam assesses knowledge of basic industry information, including fundamental concepts
• FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports
• Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments
• MSRB Rule G-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports
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