Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM):
Symbol
Name
Coupon
Maturity
BG.GA
Brown Group
7.375
1/15/98
PRWL.GB
Price Cellular Wireless
12.250
10/1/03
UAL.GH
United Air
10.110
2/19/
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
Proposed Rule Change to Extend a TRACE Pilot Program
Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
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
The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
