SEC Approves New Rules Governing Communications With the Public
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
INFORMATIONAL
NYSE Series 7 Examination
SUGGESTED ROUTING
KEY TOPICS
Registration
Examinations
Fees
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The New York Stock Exchange,
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of March 24, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
CHK.GB
Chesapeake Energy
7.875
3/15/04
CHK.GC
Chesapeake Energy
8.500
3/15/12
LOM.GA
FINRA Rule 2360(b)(3)(B) provides that "...no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee therof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such
• Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
FINRA Rules 2010 and 103301
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
See Principal Considerations in
• Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
FINRA Rules 2010 and 103301
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
See Principal
ROUTE TO
Senior Management
Legal & Compliance
Registration
Training
EXECUTIVE SUMMARY
The NASD has amended its By-Laws to require that members register with the NASD all branch offices located outside the United States. Article I, Section (c) of the NASD By-Laws defines the term
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Effective December 21, 1984, an additional 25 NASDAQ National Market System (NASDAQ/NMS) securities will begin trading in the Small Order Execution System (SOES). SOES began successfully on December 14 with over 66,000 shares in 25 different stocks traded during the first day of operation. (A list of those securities is contained in
