FINRA Small Firm Advisory Board Election
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 21, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AELU.GB
American Cellular Corp.
9.
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
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
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 18, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval a comprehensive proposed rule change that will address three primary issues: (1) how an entity or person becomes a member of the NASD® (membership
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of May 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ADLA.GR
Adelphia Communications Corp
10.250
06/15/11
Effective Date: July 1, 1996
Executive Summary
On March 11, 1996, the Securities and Exchange Commission (SEC) approved an amendment to Section 65 of the NASD Uniform Practice Code (UPC) to require members to transmit customer account transfer instructions electronically. The NASD is amending Section 65 of the UPC to require members that are currently participants in the National Securities
Decision IssuanceAfter considering the application, the membership interview, documents provided by the Applicant, other information, the public interest and the protection of investors, FINRA’s Membership Application Program (MAP) will issue a decision as to whether membership will be granted, granted with restrictions, or denied. The decision will be based upon a determination as to whether the
Exemptive relief is granted based on representations that: the contribution pre-dated the contributor’s designation as an MFP; the MFP attempted to obtain a refund of the contribution; the Firm identified the contribution through its supervisory processes during its screening process when Name was being considered for a role that would cause her to be designated as an MFP; and the MFP will be prohibited from soliciting or otherwise being involved in municipal securities business with the City for at least two years from the date of the Contribution.
