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/
Transparency Services Legal Agreements
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
SUGGESTED ROUTING
Senior Management
Corporate Finance
Internal Audit
Legal & Compliance
Syndicate
Executive Summary
NASD Regulation, Inc., reminds members of their obligations under the Free-Riding and Withholding Interpretation (IM-2110-1) with respect to venture capitalists and the cancellation safe harbor provisions. This information was previously provided to
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
In 1993, the American Stock Exchange (Amex), the Chicago Board Options Exchange (CBOE), the Municipal Securities Rulemaking Board (MSRB), the National Association of Securities Dealers, Inc. (NASD), the New York Stock Exchange (NYSE), and the Philadelphia Stock Exchange (PHLX), endorsed the Report and
FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System1 ("Regulation T") and SEA Rule 15c3-3(n)2 to FINRA for approval.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of January 26, 1995, the following 19 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,747:
Symbol
Company
Entry Date
SOES Execution Level
CAFI
Camco Financial Corp.
12/30/94
200
TLMDA
Telemundo
StatusCode for StatusDescriptionAbandonedABANDONEDA manually set status that indicates that information for an individual has not been submitted to a state within the time period specified by the state. The individual cannot conduct business.Administrative TerminationADMTERMA status which has been set pursuant to a termination for administrative reasons (i.e. Mass Terminations)Approved Pending
This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
