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Notice to Members 98-55
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading Executive Summary On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing SystemSM (FIPS®) for members trading highyield bonds. FIPS was created to facilitate the over-the-counter (OTC) trading of high
Information Notice – 12/14/15
2016 and First Quarter of 2017 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Information Notice - 4/11/14
Continuing Education Planning
Information Notice - 4/13/13
Continuing Education Planning
Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Information Notice – 2/13/19
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Election Notice – 10/20/17
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Trade Reporting Notice - 8/19/10
Weighted-Average Price/Special Pricing Formula Trade Modifier