Displaying 6271 - 6280 of 8816 Results
Notice to Members 98-104
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of October 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ACFL.GA ACC Consumer Finl Corp. 10.250 12/01/03 ANCP.GB Anacomp Inc 10.875 04/01/04 CSUD.GA
Targeted Examination Letter on Order Routing Conflicts
November 2017 The Trading & Financial Compliance Examinations (TFCE) section of the Market Regulation Department (Market Regulation) at the Financial Industry Regulatory Authority, Inc. (FINRA) is conducting a review of [FIRM] concerning the impact the receipt of order routing inducements, such as payment for order flow and maker-taker rebates, has on the Firm’s [equities and options]
Frequently Asked Questions (FAQ) about Private Placements
Frequently asked questions about private placements.
Notice to Members 98-13
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of December 30, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity NAT.GA North Atlantic Trading Inc 11.000 06/15/04 OEI.GA Ocean Energy Inc 8.875 07/15/07
Notice to Members 97-95
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of November 21, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity ELRT.GA Eldorado Resorts LLC 10.500 08/15/06 GTAR.GA Globalstar L.P./Cap Corp
Notice to Members 97-54
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of July 25, 1997, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity OEC.GA Ohio Edison Co 7.500 08/01/02 OEC.GB Ohio Edison Co 8.750 02/15/98 OEC.GC
Notice to Members 96-34
As of April 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity DOMT Dominion Textile USA Inc 9.25 4/01/2006 BORN.GA Borden Inc 8.375
Notice to Members 96-31
As of March 29, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity TLMD.GB Telemundo Group Inc 7 2/15/96 DOPD.GA Doane Products Company 10.625
Notice to Members 96-22
[Please note: there is currently no text to accompany this notice. To be updated when material is published by NASD.]
For Your Information - February 1996
[Please note: There is currently no text to accompany this notice]