TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 4, 1986, 19 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,237. These 19 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
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we look at the overlapping risks of AML and cybersecurity.
Effective May 12, 2014, FINRA Rule 4552 requires each Alternative Trading System (ATS) that has filed a Form ATS with the SEC to report to FINRA its aggregate weekly volume information and number of trades, by security, per ATS in both equity securities and debt securities subject to FINRA trade reporting requirements.
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
A vibrant and efficient capital-raising process fosters business expansion, job creation, innovation and economic growth. FINRA members play a critical role in facilitating capital formation for businesses of all sizes. FINRA supports the capital-raising process through appropriately tailored rules for its members that are designed for the benefit of all market participants.
By checking "I Agree" or accessing or using the FINRA Fixed Income Data website or the data and other information available on the FINRA Fixed Income Data website (the “Data”), you acknowledge and agree to terms of this User Agreement (including the Third Party Terms and Disclaimers below) and all other applicable terms posted on the FINRA Fixed Income Data website. Please read them
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of March 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ARGI.GE
American Restaurant Group Inc
<p>For purposes of Rule 2740, securities custodial, clearance and settlement services are not considered bona fide research.</p>
A proof of competency will automatically segregate out those of a different background either due to the education system they were forced into by their location or if English isnt their first/native language. Investments should not be up to regulators but the individuals.
The TRACE Treasury Aggregate Statistics provides trading volume in U.S. Treasury securities reported to TRACE for the prior day, week or month. The weekly format was discontinued as of February 2023; weekly format history is available.
Data is updated weekly with the start of the week identified as a Monday. Treasury bond data is aggregated by security subtype: Bills, Floating Rate
