(a) Call For Review By Governor
A Governor may call a membership proceeding for review by the FINRA Board if the call for review is made within the period prescribed in paragraph (b).
(b) 15 Day Period; Waiver
A Governor shall make his or her call for review at the next meeting of the FINRA Board that is at least 15 days after the date on which the FINRA Board receives the proposed written
OverviewThe following tool identifies key cybersecurity risks currently facing small firms and helps them enhance their customer information protection, and cybersecurity written supervisory programs (WSPs) and related controls, including:Highlighting the most common and recent categories of cybersecurity threats facing small firms, including questions to assist firms with addressing such threats
Neutral Corner - January 2008
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of June 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
AVIT.GA
AAVID Thermal Tech Inc.
12.750
Comment Period Expires July 30, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
SEC Approval and Effective Date for New Consolidated FINRA Rule
Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
(a) When a member has actual notice that a FINRA employee has a financial interest in, or controls trading in, an account, the member shall promptly obtain and implement an instruction from the employee directing the member to provide duplicate account statements to FINRA.
(b) Members shall not directly or indirectly make any loan of money or securities to any FINRA employee. However,
Kym Weiland, Senior Vice President, Delivery Services Technology at FINRA, brings over 20+ years of diversified experience that encompasses Incident Management, Change Management, Cloud Resiliency, Site Reliability Operations and Monitoring. She currently leads a multi-disciplinary team of leaders and professionals who manage end user support, cloud management, production operations, monitoring
As of January 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
GRLC.GA
Great Lakes Carbon Corp
10
1/1/2006
NEOD.GA
Neodata Services Inc
12
