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Jeffrey Gabler Comment On Regulatory Notice 22-08
Please do not restrict my ability to invest in inverse funds. I don't want my only choice to be long the market or out of the market. The government policy of setting artificially low interest rates for far too long leaves me little choice. My retirement savings is being eaten away by inflation, whether inflation is high or inflation is low. I need the same investment options available to me
Notice to Members 02-24
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of February 21, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity AELU.GB American Cellular Corp. 9.
Notice to Members 02-18
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of January 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity AEN.GF AMC Entertainment Inc. 9.875
Notice to Members 02-14
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of December 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ALME.GB Alaris Medical Systems Inc
Notice to Members 01-83
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of October 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADLA.GS Adelphia Communications Corp
Notice To Members 95-49
SUGGESTED ROUTING Senior Management Advertising Legal & Compliance Mutual Fund Training Executive Summary The NASD® is publishing this Notice to clarify its position on the use of logos and names of banks and other financial institutions under the current NASD rules and regulations and the federal securities laws generally. Discussion In the November 1994 account
Notice to Members 01-76
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of September 24, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ATK.GA Alliant Techsystems Inc 8.500 05/15/11
Regulatory Notice 21-19
Summary FINRA is requesting comment on potential enhancements to its short sale reporting program.  FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other
Notice To Members 85-86
TO: All NASD Members and Other Interested Persons LAST DATE FOR COMMENT: JANUARY 24, 1986 BACKGROUND In Notice to Members 85-58, dated August 30, 1985, the NASD solicited comments from members and other interested persons on a proposed new rule (new paragraph (m) Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company
Notice to Members 01-55
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of June 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADVP.GA AdvancePCS 8.500 04/01/08 AES.GJ AES Corp 8.