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
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of February 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
UH.GE
U.S. Home Corp New
7.750
01/15/05
DGAS.GC
Delta Natural Gas Inc
8.300
08/01/26
As of August 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
CQB.GH
Chiquita Brands Intl
10.25
11/01/06
KR.GJ
Kroger Co
8.15
7/15/06
SCR.GD
Sea Containers Ltd
10.5
7/1/03
GBPI.GA
Golden Books Publishing Inc
7.65
9/15/02
ORX.GI
Oryx Energy
8.375
7/15/04
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Training
Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for
Dear Regulators,
Thank you for overseeing and protecting the average retail investor from complicated and leveraged investments. I have used the leveraged TQQQ and UPRO to great effect and done so intelligently, I think. I would love to continue using these products as they match my aggressive investment thesis and knowledge. I have done well as a result of these products and am well aware of
To Whom This May Concern, I do not agree with SEC Proposed Rule #S7-24-15. I believe that I should have the ability to choose what investments are appropriate for myself. I am capable of appropriately educating myself without having to pass "tests" imposed on me. Leverage and inverse funds are very important to my investment strategy. In fact, I followed a very regimented investment
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors.
Effective Date: July 1, 1997
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The following is a corrected list of the Small Order Execution SystemSM (SOESSM) tier size changes that became effective on July 1, 1997. The list of SOES tier size
