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4590. Synchronization of Member Business Clocks
(a) Each member shall synchronize its business clocks, including computer system clocks and mechanical time stamping devices, that are used for purposes of recording the date and time of any event that must be recorded pursuant to the FINRA By-Laws or other FINRA rules, with reference to a time source as designated by FINRA, and shall maintain the synchronization of such business clocks in
Tips for the Rule 2080 Waiver Request Form
Accessing the FormIf you have credentials for a FINRA system, you do not have to create a new account — you can use your established credentials to access the Rule 2080 Waiver Request Form.Attorneys can use the same credentials used for the DR Portal.Current and former registered representatives can use the same credentials used for FinPro.Broker-dealer firms requesting a waiver on behalf of a
Notice to Members 00-39
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of May 22, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CNC.GC Conseco Inc. 6.400 02/10/03
Notice to Members 00-31
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of March 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ANCG.GB Anker Coal Group Inc. Ser B 14
Notice to Members 00-24
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of February 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CRHI.GB Carter Holdings Inc. 12.
Notice to Members 00-11
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of December 23, 1999, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity AMKR.GB Amkor Technology Inc. 9.250
Notice to Members 00-05
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of November 23, 1999, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ALKC.GA Alaska Communications
Notice to Members 99-107
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Notice to Members 99-93
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Notice to Members 99-82
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. As of July 22,