FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
Mortgage-Backed Security (MBS) data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years.
Data field
Definition
Why we share this data
Amortization
Amortizing securities are debt securities like bonds, but they pay the principal back with each payment rather than upon maturity.
(a) Terms used in this Rule shall have the same meaning as those defined in the FINRA By-Laws and rules unless otherwise specified herein.(b) "Direct participation program" or DPP, means a program which provides for flow-through tax consequences regardless of the structure of the legal entity or vehicle for distribution including, but not limited to, oil and gas programs, real estate
When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 26 of the
SUGGESTED ROUTING*
Senior ManagementOperationsResearch
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the second quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C.
As prepared for deliveryToday’s conversation on disrupting the cycle of financial fraud is important and timely—and we are grateful to have been able to convene such a distinguished group of regulators, policymakers, academics, law enforcement agencies, advocacy groups and financial firms here today. You all play a vital role in protecting investors, advocating for victims and working to stop
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 19, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
Symbol*
Company
Location
BMEEF
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 1, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,004:
Symbol*
Company
Location
BYTE
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
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.
Executive Summary
The Securities and Exchange
