FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Effective: November 16, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Registered Representatives
Training
Executive Summary
On August 26, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rule 2210 to require that written or electronic communications
Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1999 National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files.
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike.
AML isn’t just a regulatory issue; it is a national security concern. AML is essential to ensuring the continued functioning of our financial system; and every firm, no matter the size, needs to get
SUGGESTED ROUTING
Senior Management
Continuing Education
Institutional
Legal & Compliance
Operations
Registered Representatives
Systems
Trading
Training
Executive Summary
On September 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD® or Association) rules regarding
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Columbus Day: Trade Date — Settlement Date Schedule
The schedule of trade dates – settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1998. On this day, The Nasdaq Stock Market® and the securities
TRACE Monthly Volume Report for 2017
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of August 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ABLC.GA
American Builders & Contractors Inc
10.625
05/15/07
AFGH.GA
Affinity Group Holding Inc
