INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 28, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGU.GA
Amerisourcebergen Corp
8.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Notice of Annual Meeting of FINRA Firms and Proxy
Application of Suitability and Supervision requirements to recommendations of new variable annuity bonus products to existing variable annuity bonus products customers.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise
Notice of Special Meeting of Large Firms and Proxy
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules
The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
