<p>For purposes of Rule 2740, securities custodial, clearance and settlement services are not considered bona fide research.</p>
The Neutral Corner—Volume 2, 2020
Mission Statement
FINRA Arbitrators Successfully Conduct Virtual Hearings (by Nora Sassounian, Case Administrator, FINRA West Regional Office)
Anatomy of a Zoom Videoconference Mediation (by E. Scott Douglas, FINRA Mediator)
FINRA Dispute Resolution Services and FINRA News
Name Change to FINRA Dispute Resolution Services
COVID-19 Hearing Postponements and
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
The current system is completely rigged against the small retail investor. Short sellers trade synthetic shares and naked shorts back and forth to one another- which creates downward pricing pressure on a stock. How does my 1 share compete against a Short Sellers 1 share that converts into 1000 synthetic shares? How is it possible 3X, 4X, 5X etc the entire float can be traded- with the large
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of April 23, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AG.GB
AGCO Corp
9.500
05/01/08
BEPA.GD
BE Aerospace
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
SCRA offers a variety of provisions to help active duty personnel meet their legal and financial obligations. But relief under the SCRA is not always automatic.
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 27, 2000, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGB.GA
Asia Global Crossing Ltd
13.375
10/15/10
Please make this happen. There’s just no reason why we can’t have up to date information in this day and age. Transparency is important to a functional capitalist system
TRACE Usage Reporting Policy
