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.
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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 Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
My comments submissions are: 1. The purpose of this change is to improve transparency within the market to counter fraudulently or bad actors having the ability to circumvent reporting mechanisms for their own gain, and often the loss that retail investors suffer as a result when operating within the market. This premise should underpin how all comments are reviewed and revisions incorporated. 2
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
TO: All NASD Members and Other Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
EXECUTIVE SUMMARY
Beginning with the August 15, 1987, administration of the Series 7 General Securities Registered Representative Examination, the NASD will collect a $10 test-development fee from its members for the New York Stock Exchange (NYSE) for each Series 7 grade posted to a candidate's
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
