Displaying 931 - 940 of 4030 Results
Notice to Members 01-48
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of May 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity ADLA.GR Adelphia Communications Corp 10.250 06/15/11
Notice To Members 86-66
TO: All NASD Members and Other Interested Persons ATTN: Direct Participation Programs Department EXECUTIVE SUMMARY This notice examines a number of due diligence reimbursement practices that have arisen in the area of public offerings of direct participation programs and the appropriateness of those practices under the NASD's underwriting compensation guidelines. This notice is a
Notice to Members 00-24
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of February 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CRHI.GB Carter Holdings Inc. 12.
Notice To Members 84-28
TO: All NASD Members and Other Interested Persons Attn: Direct Participation Programs Department The provisions of Appendix F to Article III, Section 34 of the Association's Rules of Fair Practice ("Appendix F") relating to the use of sales incentive arrangements in public offerings of direct participation programs have been amended. The amendments were distributed to the
Notice to Members 98-104
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of October 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity ACFL.GA ACC Consumer Finl Corp. 10.250 12/01/03 ANCP.GB Anacomp Inc 10.875 04/01/04 CSUD.GA
Special Notice - 4/25/23
Summary FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides: a description of responsibilities for the various groups; an overview of each elected vacancy to be filled in 2023; and a summary of how eligible individuals can become
Notice To Members 83-49
TO: All NASD Members and Other Interested Persons Attention: Direct Participation Program Department The Association is requesting comments on a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice ("Appendix F"). Appendix F relates primarily to public offerings of direct participation programs, most of which are limited partnerships. The amendment
Boiler Rooms—An Old Stock Scam Gets a Technology Makeover
The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler rooms go beyond the telephone to contact potential investors, including pitching through messaging apps and social media. Regardless of the method of contact, the scammer’s goal and many of the red flags are the same.
Notice To Members 94-32
SUGGESTED ROUTING Senior ManagementLegal & ComplianceRegistrationTraining In 1993, the American Stock Exchange (Amex), the Chicago Board Options Exchange (CBOE), the Municipal Securities Rulemaking Board (MSRB), the National Association of Securities Dealers, Inc. (NASD), the New York Stock Exchange (NYSE), and the Philadelphia Stock Exchange (PHLX), endorsed the Report and
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