FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
INFORMATIONAL
Transaction Fees
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD
By-Laws
Transaction Fees
Executive Summary
Pursuant to Section 31 of the Securities Exchange Act of 1934 (Exchange Act),
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of March 25, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
AMSD.GG
American Standard Inc
7.125
02/15/03
AMSD.GH
American Standard Inc
7.625
02/15/10
KVCO.GA
Firm X's request for exemption is denied. The Rule imposes a requirement on all firms subject to its provisions to know them and to have in place supervisory procedures to reasonably insure compliance with the Rule. The language of the rule is clear with respect to the limitations imposed on member firms, as distinct from municipal financial professionals. In the instant matter, we cannot conclude that ignorance of the Rule's provisions constitutes reasonable justification or excuse for granting the requested exemption.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
Guidance on Rules Governing Communications With the Public
