Displaying 5141 - 5150 of 8259 Results
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
Targeted Examination Letter on Order Protection Disclosure Practices
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
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
Ryan McCabe Comment On Regulatory Notice 21-19
As a retail investor with over 15 years experience, I would like to urge FINRA to enact, with all haste, any and all new rules or amendments that make the American market more transparent and fair for all investors. For far too long the majority of investors have been in the dark in regards to short interest, robbing us of the ability to make informed decisions while researching and deciding on
Joshua Walker Comment On Regulatory Notice 21-19
I would like Finra to adopt the following measures. 1. Report every time a share is lent and create a tracking system so the same share cannot be lent more than once. 2. Force the RegSho requirements of FTD to attach to the stock/obligation so the T+35 is not reset through measures such as swaps or other derivatives trading. 3. Eliminate Naked Shorting in all circumstances. 4. Adopt fines in
Notice to Members 97-54
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of July 25, 1997, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity OEC.GA Ohio Edison Co 7.500 08/01/02 OEC.GB Ohio Edison Co 8.750 02/15/98 OEC.GC
Notice to Members 97-33
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of April 24,1997,the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity OIL.GC Triton Energy Corp 8.750 4/15/02 OIL.GD Triton Energy Corp 9.250 4/15/05 MAT.GA
Remarks at the SIFMA Annual Meeting
Good morning. I am delighted to be with you today. Before I begin, I just want to say a few words about Marc Lackritz. Marc, this may be your last annual conference as CEO and President of SIFMA, but the work you have done, and its impact on the markets, is going to be felt for a long time to come.
Notice to Members 97-22
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of March 24, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity CHK.GB Chesapeake Energy 7.875 3/15/04 CHK.GC Chesapeake Energy 8.500 3/15/12 LOM.GA