Overview – The following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA) or Form Continuing Member Application (CMA) regarding new private placement business. This checklist is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review and to aid
For purposes of the Rule 11890 Series, the terms of a transaction are “clearly erroneous” when there is an obvious error in any term, such as price, number of shares, or other unit of trading, or identification of the security.
• • • Supplementary Material: ------------------
.01 Refusal to Abide by Rulings. It shall be considered conduct inconsistent with just and equitable principles
FINRA Requests Comment on TRACE Dissemination Issues
Notice of Annual Meeting of FINRA Firms and Proxy
Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
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
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
FINRA Announces Results of SFAB, NAC and District Committee Elections
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
SUGGESTED ROUTING
Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
