Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 3, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
AMD.GA
Advanced Micro Devices Inc
11.000
8/1/03
WRSL.GC
Weirton Steel
10.750
6/1/05
IV.GBC
Mark IV
7.750
4/1/06
RAZR.
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Innovation and collaboration are two of FINRA’s four core values. Michael Hawman, Director of Technology for Delivery Services, returned to FINRA after participating in AWS re:Invent in 2022 with a proposal that would align these two values for FINRA’s business and technology divisions.
Some of the key responsibilities of an SAA are to ensure that access is appropriate and required as well as remove access for users who no longer need it—either because of changes in job duties or termination with the firm.
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
FINRA 21-19 is a long overdue change. It is critical for the survivability of the US Markets that transparency and trust remain with to sustain it. Recent events have called that critical trust relationship into question, and as an American who serves this country, I urge FINRA do its utmost to ensure that the integrity of the United States markets remain intact. Unfortunately, businesses have
FINRA 21-19 will help to restore some of my confidence in the US financial markets. I say some because It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. Healthy markets benefit everyone in the long term. Given the
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
<p>NASD Rules 6950-6957 (OATS)</p>Clarification of application of the OATS rules.
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
