<p>Short Sale Netting Requirements and Aggregation Units<br />
</p>
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Trading
Training
Executive Summary
The Securities and Exchange Commission's (SEC) Regulation M, which regulates the market
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005; Specific Date to be Announced in Future Notice to Members
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ABAG.GA
Safety Componets Intl Inc
10.125
07/15/07
ALGX.GA
Allegiance Telecom Inc
11.750
02/15/08
AMH.
Notice of Annual Meeting of FINRA Firms and Proxy
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Corporate FinancingExecutive
RepresentativesLegal & ComplianceSenior
ManagementOperations
AffiliatesControl EntityInstitutional
AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D
Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
