FINRA Revises Sanction Guidelines
Comment Period Expires: January 15, 1999
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NASD Regulation Request For Comment 98-101
Executive Summary
NASD Regulation, Inc. (NASD Regulation SM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and
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As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
Last modified: March 17, 2021
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Member SupervisionCollege of Examinations and College of Risk MonitoringThe College of Examinations (COE) and College of Risk Monitoring (CORM) are elite training programs kicking off in July. A group of entry-level employees will start their careers in Member Supervision through a multi-week training and networking extravaganza.The COE and
The Achieving a Better Life Experience (ABLE) Act of 2014 provided Americans with disabilities the opportunity to save in a tax-deferred account as a supplement to their government benefits.
INFORMATIONAL
FIPS Changes
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Corporate Finance
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FIPS
As of January 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AEN.GF
AMC Entertainment Inc.
9.875
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of December 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALME.GB
Alaris Medical Systems Inc
