SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
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
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
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
The Communications with the Public topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
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
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
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
Federal Reserve Board Regulation T governs the extension of credit to customers by broker/dealers. Among the provisions of Regulation T are requirements governing the initial margin
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date is January 9, 1984
Attached are amendments regarding two separate issues which are being submitted to the membership for a vote. The first issue is that of amendments to the proposed Corporate Financing Rule filing requirements which would exempt from those requirements all debt and equity
In securities transactions, whether in "listed" or "unlisted" securities, if a member buys for his own account from his customer, or sells for his own account to his customer, he shall buy or sell at a price which is fair, taking into consideration all relevant circumstances, including market conditions with respect to such security at the time of the transaction, the expense
SUGGESTED ROUTING
Senior ManagementInternal AuditOperationsTrading
On June 30, 1988, the maximum Small Order Execution System (SOESSM) order size for all Nasdaq National Market® securities was established as follows:
A 1,000-share maximum ordersize was applied to those Nasdaq National Market securities that had an average daily nonblock volume of 3,000 shares or more a day, a bid
