Displaying 661 - 670 of 1274 Results
Notice to Members 00-19
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & 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
Electronic Fingerprint Submission (EFS) Information
On This PageEFS InstructionsEFS VendorsEFS InstructionsBroker-dealer firms and funding portals can submit fingerprints electronically to Sterling Identity (Sterling), FINRA’s designated fingerprint provider, by following the steps below.1. Determine how your firm will submit fingerprintsThere are two options for electronic fingerprinting:Send individuals to a participating EFS vendor’s location.
Notice to Members 02-37
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
Regulatory Notice 12-47
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
110. Funding Portal Application
(a) Member Application Process (1) Definitions (A) "Associated Person" Solely for purposes of paragraph (a) of this Rule, the term "associated person" means any: (1) sole proprietor, partner, officer, director or manager of a funding portal, or other natural person occupying a similar status or performing similar functions; (2) natural person directly
Notice to Members 01-69
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the
New FINRA ADF Participant
Beginning Monday, November 13, 2017, JP Morgan Securities, LLC (MPIDs: JPMS, JPMX & JPBX) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF). Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
Notice to Members 00-81
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of October 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CHB.GA Champion Enterprises Inc. 7.
Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots
Election Notice - 12/6/12
FINRA Announces Results of SFAB, NAC and District Committee Elections