INFORMATIONALDo-Not-Call RegistryEffective Date: March 31, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrainingCold CallDo-Not-CallTelemarketingTelephone SolicitationEstablished Business RelationshipExecutive SummaryOn January 12, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
There are custom homes, custom cars and custom clothes. Now, there are even custom index funds. Non-traditional, or custom, index funds generally use more complex or targeted investing strategies than traditional index funds. Here’s what you should know before going custom.
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below
INFORMATIONAL
Margin Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Customer Disclosures
Margin
As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of July 20, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CHCG.GE
Charter Comm Hldgs Cap Corp
Changes to Customer Complaint Reporting Procedures Under NASD Rule 3070(c) and NYSE Rule 351(d)
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
