Change to Form U4 Regarding the Reporting of Judgment/Lien Events
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 23, 1999, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ALKC.GA
Alaska Communications
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of May 27, 1992, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 2,863:
Symbol
Company
Entry Date
SOES Execution Level
SPTN
SportsTown, Inc.
4/22/92
1000
SMRT
Stein Mart, Inc.
4/22/92
Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
INFORMATIONAL
Registration Of Chief Compliance Officers
Effective Date: January 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Chief Compliance Officers
Continuing Education/Testing/Qualifications
Registration
Executive Summary
On June 19, 2001, the Securities and Exchange Commission (SEC)
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of April 22, 1999, the following bonds were added to the Fixed
FINRA is concerned about the little investor using leveraged ETFs? This is not about protecting the little investors. It's about what some large investment firms want. This is the second assault on these investment products. Back in December of 2015 the SEC Chair Mary Jo White tried to rein in leveraged index funds. It's funny the concern over the individual investors when back in 1999
The Neutral Corner Topical Index; Volume 4 - 2008; Writing a Disciplinary Referral; Dispute Resolution news; SEC Rule Filing; SEC Rule Approval; Arbitration Awards: The Offset Option; Question and Answer; Arbitrator Tip
ESSENTIALS
Banks, savings associations and credit unions offer such products as savings and checking accounts, money market deposit accounts and certificates of deposit (CDs).
Deposits at banks and savings associations are protected by the Federal Deposit Insurance Corporation (FDIC); at credit unions, deposits are protected by the National Credit Union Administration.
Bank products are
Effective liquidity management is a critical control function at broker-dealers and across firms in the financial sector. Failure to manage liquidity has contributed to both individual firm failures and, when widespread, systemic crises.
In adverse circumstances, whether the result of firm-specific events or systemic credit events, the cost of funding a broker-dealer’s operations could become
