INFORMATIONAL
Certificates Of Deposit
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Trading
Operations
Senior Management
Long-Term or Brokered Certificates of Deposit
Executive Summary
Members increasingly have been offering to customers a number of non-traditional certificate of deposit (CD) products. Typically, these products are
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 22, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AXTO.GD
Abraxas Petroleum Corp
11.500
11/01/04
November 1999
Are You Ready For The Year 2000?
As the Year 2000 approaches, most media reports and surveys indicate that businesses are making significant progress and will be well prepared for the century date change. However, there is still work that needs to be done. Organizations should continue to focus on maintaining a high level of readiness. One important way to achieve this is through
The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
The TRACE Markup/Markdown Analysis Report is a monthly report designed to assist firms in their supervision activities by providing transparency into a portion of FINRA's surveillance program of corporate and agency fixed income transactions customer pricing.
The TRACE Markup/Markdown Analysis Report is built upon logic developed to pair purchase and sale transactions reported to
img.snapshot {
border:1px solid #cccccc;
margin-top:10px;
}
.blueButton {
background-color: #1063A0;
color: #fff;
border-radius: 10px;
display: inline;
font-size: 14px;
max-width: 200px;
padding: 15px;
text-align: center;
text-transform: uppercase;
transition: all 0.3s ease-out;
width: calc(100% - 30px);
}
.blueButton a {
color:#ffffff;
}
.
These calculators are designed to be informational and educational tools only, and when used alone, do not constitute investment advice.
The TRACE Quality of Markets Report Card for Treasuries is a monthly status report for treasuries transactions that a firm reported to the Trade Reporting and Compliance Engine (TRACE). Firms are required to report trades in accordance with established FINRA rules and regulations. Firms should make no inference that the staff of FINRA has or has not determined that the information contained on
img.exec
{
margin-right:2em;
margin-bottom:1em;
box-shadow: 5px 5px 5px #cccccc;
border:1px solid #666666;
}
html{
scroll-behavior: smooth;
}
.title {
font-size:.8em;
line-height:.5em;
}
img.largephoto {
width:150px;
margin-bottom:2em;
}
img.smallphoto {
width:84px;
height:120px;
margin-bottom:1em;
}
a.email {
font-weight: normal;
font-color: #cccccc;
text-decoration: underline;
font-size:.8em
Summary
The annual meeting of FINRA firms will take place on or about Friday, August 19, 2022, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 20, 2022.
The purpose of this Election
