INFORMATIONAL
Subordination Agreements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Broker/Dealer Financial and Operations
Executive Summary
On April 26, 2001, NASD Regulation, Inc. (NASD RegulationSM) staff reported to the Board of Directors that it would: (1) discontinue publishing the "
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
Inside directors of broker/dealers must register as principals if they wish to participate in the day-to-day conduct of members' securities businesses and the implementation of corporate policies related to such businesses.
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
SUGGESTED ROUTING
Senior Management
Government Securities
Institutional
Operations
Effective November 25, 1994, the Board of Governors of the Federal Reserve System (Fed) is adopting several amendments to Regulation T (Credit by Brokers and Dealers) regarding the payment periods for securities purchases and transactions in government securities.
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
As of April 29, 1994, the following bonds were added to the Fixed Income Pricing SystemSM:
Symbol
Name
Coupon
Maturity
BYX.GA
Bayou Steel Corp La Place
10.250
3/1/01
BRRY.GA
Berry Plastics
12.250
4/15/04
CALL.GB
NEXTEL Communications Inc.
9.750
8/15/04
Guidance on Special Purpose Acquisition Companies
GUIDANCE
NASD BrokerCheck
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
BrokerCheck
Form BD (Uniform Application for
Broker-Dealer Registration)
Form BDW (Uniform Application for
Broker-Dealer Withdrawal)
Form U4 (Uniform Application for
Securities Industry Registration or
Transfer)
Form U5 (
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of November 28, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SHST.GA
Sheffield Steel Corp.
12.000
11/1/01
CMDC.GA
Charter Med. Corp
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
