• FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports
• Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments
• MSRB Rule G-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports
•
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
D-MERC SERVICES375 BALSAM ST, LAKEWOOD, CO 80226D. B. MCKENNA & CO., INC.207 WEST MAIN STREET, BENNINGTON, VT 05201-2108D. BORAL CAPITAL590 MADISON AVE, 39TH FLOOR, NEW YORK, NY 10022D.A. DAVIDSON & CO.8 THIRD STREET NORTH, GREAT FALLS, MT 59401-3104Mailing Address: P.O. BOX 5015, GREAT FALLS, MT 59403-5015D.E. SHAW SECURITIES, L.L.C.TWO MANHATTAN WEST, 375 NINTH AVENUE, 52ND
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As of March 29, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
RHLD.GA
RHI Holdings
11.875
3/1/99
CWL.GA
Chartwell
10
FAIRMOUNT PARTNERS LP555 EAST LANCASTER AVENUE, SUITE 640, RADNOR, PA 19087FAIRPORT CAPITAL, INC.9141 E. HIDDEN SPUR TRAIL, SCOTTSDALE, AZ 85255FAIRVIEW SECURITIES, INC.154 LONG LOTS ROAD, WESTPORT, CT 06880FALCON SQUARE CAPITAL, LLC3701 LAKE BOONE TRAIL, SUITE 100, RALEIGH, NC 27607FALLBROOK CAPITAL SECURITIES CORP.26610 AGOURA ROAD, SUITE 120, CALABASAS, CA 91302FALLS BRIDGE SECURITIES, LLC32 N
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
The Frequently Asked Questions below are taken directly from the Securities and Exchange Commission’s Regulation Best Interest and Form CRS FAQ pages. The below are FINRA’s best attempt to highlight the latest SEC FAQs, but additional FAQs may have been published that are not posted on this page. For the latest FAQs on Reg BI and Form CRS, please visit the SEC’s website.SEC Frequently Asked
Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
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Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
