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Notice to Members 04-52
GUIDANCEShort SalesSUGGESTED ROUTINGKEY TOPICSInternal AuditLegal & ComplianceOperationsSenior ManagementTradingAffirmative DeterminationRule 3370(b)(2)(B)Rule 3370(b)(5)(B)Short SalesExecutive SummaryThere has been discussion in the financial press about the listing of securities on foreign markets without a company's knowledge or authorization. Some reports have suggested that the
Regulatory Notice 23-14
Summary FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced  transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
Notice to Members 02-36
INFORMATIONAL Fixed Income Pricing SystemSM SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Trading FIPS As of April 23, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ACGH.GA American Color Graphics Inc. 12.750 08/01/05 AMWA.GB
Notice To Members 95-101
Last Voting Date: January 12, 1996 SUGGESTED ROUTING Senior Management Legal & Compliance Executive Summary The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice. Background The proposed amendments to
Notice to Members 03-67
INFORMATIONAL Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Rule 3130 Rule 3131 Rule 9160 Rule 9400 Series Net Capital
Interpretive Letter to S. Kendrick Dunn, Pacific Select Distributors, Inc.
<p>NASD Rule 3010(a)(7) - Annual Compliance Meeting</p>
Monthly Disciplinary Actions October 2009
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Notice to Members 00-19
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal &amp; Compliance Municipal/Government Securities Operations Senior Management Trading &amp; Market Making FIPS As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ACPV.GA Advanta Corp. 7.100 10/23/00
Notice to Members 00-11
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal &amp; Compliance Municipal/Government Securities Operations Senior Management Trading &amp; 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 99-01
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered