SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of March 22, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AGFE.GA
AmeriGas Partners/Eagle Financial Corp
10.000
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
FINRA Revises the Series 24 and 23 Examination Programs
Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
January 1999
Contingency Planning
Although most businesses are working diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things will be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses must realize that there are things beyond their control that could impact various entities in 2000
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change that includes: (1) clarifying the Department of Market Regulation's role in disciplinary proceedings; (2) requiring members to designate, as the custodian of the record on the Form BDW, persons who are associated with the firm at the time the forms are filed; (3) clarifying the
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.FINRA’s 2025 Entitlement User Accounts Certification Process FINRA’s 2025 Entitlement Certification period is April 14 – June 16. During this period, Super Account
Thank you so much Lori for that kind introduction, and thank you, Mr. Chairman, for hosting this important program. I am thrilled to be here. And I want to add my welcome to Lori's and Chairman Cox's.
