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FINRA Webinar: Customer Information Request Overview
Join this webinar for an overview of the Customer Information Request that was sent to some member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
Notice to Members 98-79
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of July 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ACCC.GA Advanced Accessory Corp 9.750 10/01/07 ACF.GB Amercredit Corp 9.250 02/01/04 ACHD.GA Amscan
Notice to Members 98-57
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of June 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ABN.GA American Bank Note Corp 11.250 12/01/07 AXCL.GA Airxcel Inc 11.000 11/15/07 BZH.GB
Notice to Members 98-45
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of May 22, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AES.GB AES Corp 8.375 08/15/07 AES.GC AES Corp 8.500 11/01/07 AES.GD AES Corp 8.875 11/01/
Notice to Members 98-41
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of April 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity PRVC.GA President Riverboat Casinos Inc 13.000 09/15/01 TCFD.GB Trump's Castle Funding Inc
Notice to Members 98-36
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of March 25, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AMSD.GG American Standard Inc 7.125 02/15/03 AMSD.GH American Standard Inc 7.625 02/15/10 KVCO.GA
Bill Wollman
Bill Wollman is Executive Vice President, Office of Financial and Operational Risk Policy. In this role, he is responsible for FINRA’s policy and rulemaking efforts relating to broker-dealer financial responsibility rules, operational issues, customer protection requirements and margin standards. Mr. Wollman is one of the senior leaders who is responsible for leading FINRA’s response to firms
Notice to Members 98-13
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of December 30, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity NAT.GA North Atlantic Trading Inc 11.000 06/15/04 OEI.GA Ocean Energy Inc 8.875 07/15/07
Notice to Members 97-95
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of November 21, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity ELRT.GA Eldorado Resorts LLC 10.500 08/15/06 GTAR.GA Globalstar L.P./Cap Corp
OTC Transparency Data Issue (Resolved)
As announced in a Technical Notice on April 1, 2019, there was an issue where firm data was being displayed under multiple names. This was occurring when there was a mid-reporting period name change. FINRA has updated the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. All historical data has now been updated. In addition, there may