Displaying 8081 - 8090 of 9721 Results
Did you mean: rule 2240 ?
Notice to Members 00-68
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of August 21, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity BIOB.GA Bio-Rad Laboratories Inc.
Notice to Members 00-07
INFORMATIONAL Trading — Extended Hours SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disclosure Trading, Extended Hours Executive Summary NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
Notice to Members 99-90
INFORMATIONAL Arbitration SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Training Arbitration Discovery Guide The Suggested Routing function is meant to aid the reader of this document. Each NASD
What a Corporate Bankruptcy Means for Shareholders
When a company files for bankruptcy protection, chances are its shares will lose most, if not all, of their value. Here’s a look at what shareholders can expect and why it’s so risky to trade in the delisted shares of bankrupt companies.
Defiance ETFS, LLC Comment On Regulatory Notice 22-08
Ms. Marcia E. Asquith, Executive Vice President Financial Industry Regulatory Authority, Inc. 1735 K Street, NW Washington, DC 20006-1500 Re: FINRA Regulatory Notice 22-08 (the “Notice”) Dear Ms. Asquith: Defiance ETFS, LLC (“Defiance”), appreciates the opportunity to comment on the Notice. We commend the Financial Industry Regulatory Authority (“FINRA”) for reminding members of their current
Regulatory Notice 24-14
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
Notice to Members 96-91
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of November 29, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS). Symbol Name Coupon Maturity UIS.GG Unisys Corp 11.750 10/15/04 TLLP.GC Toll Corp 8.750 11/15/06 MCCC.GA McCrory Corp 7.770 7/15/94
Regulatory Notice 18-11
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
Notice to Members 96-13
As of January 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity GRLC.GA Great Lakes Carbon Corp 10 1/1/2006 NEOD.GA Neodata Services Inc 12
Notice To Members 95-58
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of June 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation: Symbol Name Coupon Maturity DOHJ.GA Doehler-Jarvis 11.875 6/1/02 TEXN.GC Tex-N.M.