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
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registered Representatives
Research
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the
Executive Summary
On January 11, 1999, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3)(A), tripling the position limits on standardized (exchange-traded) equity options to make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security. These amendments
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On January 13, 1999,
It’s easy to lose track of 401(k) accounts if you don’t take them with you. As the years go by, companies might be restructured, sold, or go out of business
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1997-98 National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
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