(a) Definitions
The following terms shall, unless the context otherwise requires, have the stated meanings:
(1) Aggregate Exercise Price — The term "aggregate exercise price" means the exercise price of an option contract multiplied by the number of units of the underlying security covered by such option contract.
(2) Call — The term "call" means an option contract under
SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1995:
January 2
New Year's Day (observance)
February 20
President's Day
April 14
Good Friday
May 29
Memorial Day
July 4
Independence Day
September 4
Labor Day
November 23
Thanksgiving Day
December 25
Christmas
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of June 28, 1994, the following bond was added to the Fixed Income Pricing SystemSM. This bond is not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
CQB.GG
Chiquita
9.125
3/1/04
The bond listed above is subject to trade-reporting
SUGGESTED ROUTING:*
Legal & ComplianceOperationsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On June 29; 1992. the SEC approved amendments to Schedule D of the NASD By-Laws regarding confirmation disclosure requirements for Nasdaq Small-Cap stocks. The new rules require members to furnish specific
Beginning in early December 2022, FINRA will introduce changes to the Trade Data Dissemination Service (TDDS 2.0).1 These changes are being made in concert with FINRA’s technical infrastructure upgrade.
FINRA has made a recent change to the TDDS 2.1 MOLD/UDP 64 NTF Rendezvous Point (RP) address from 207.251.255.40 to 207.251.255.170. The new address is listed and highlighted in the
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm Governor — John Vaccaro, Chair and CEO, MML Investors Services; Head of MassMutual Financial Advisors; Mid-Size Firm Governor — James Crowley, CEO, Pershing Advisor Solutions; Senior Executive Vice President, Global Head of BNY Pershing Small Firm Governor — Jennifer Szaro, Chief Compliance Officer, XML Securities
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
