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SR-NASD-2001-049
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Interpretive Material 2210-5 to extend the expiration date of IM-2210-5 from August 31, 2001 to August 31, 2003, and to clarify that the filing requirements and review procedures applicable to sales literature that includes bond mutual fund volatility ratings, as set forth in NASD Rule 2210(c)(3), also will expire on
Notice to Members 01-40
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of April 23, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity AG.GB AGCO Corp 9.500 05/01/08 BEPA.GD BE Aerospace
Notice to Members 01-21
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of January 22, 2001, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AES.GI AES Corp 8.875 02/15/11 CPN.GJ Calpine
Notice to Members 01-15
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of December 26, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity AES.GH AES Corp 8.750 12/15/02 ASNC.GA Asat
SR-NASD-2001-008
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10301of the NASD Code of Arbitration Procedure to prohibit a firm that has been terminated, suspended, or barred from the NASD, or that is otherwise defunct, from enforcing a predispute arbitration agreement against a customer in the NASD arbitration forum.
Notice to Members 01-09
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of November 27, 2000, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ASGB.GA Asia Global Crossing Ltd 13.375 10/15/10
Notice to Members 00-87
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of November 22, 2000, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ACRP.GA Actuant Corp 13.000 05/01/09 AGY.GC
Notice to Members 00-81
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of October 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CHB.GA Champion Enterprises Inc. 7.
Notice to Members 00-76
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of September 22, 2000, the following bonds were added to the Fixed Income Pricing System,SM (FIPS®). Symbol Name Coupon Maturity ADLA.GQ Adelphia Communications
Notice to Members 00-39
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of May 22, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CNC.GC Conseco Inc. 6.400 02/10/03