Data Definitions for Treasury Securities. Data fieldDefinitionWhy we share this dataBenchmarkIdentifies the bond’s benchmark type/term.So that investors can know the bond benchmark.Coupon RateA coupon rate is the annual interest rate paid by the issuer to you when you hold a bond that you have purchased. These interest payments are generally made semiannually, although some bonds may pay
One financial institution described the metaverse as a “seamless convergence of our physical and digital lives, creating a unified, virtual community where we can work, play, relax, transact and socialize.”14 At least one prominent international body similarly expressed that the metaverse is not a single space, but rather, a “collection of shared digital spaces for real-time interaction and
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
FINRA announced that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SEC Approves Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Debt Research Reports
Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). The purpose of the Anti-Money Laundering (AML) rules is to help detect and report suspicious activity including the predicate offenses to money laundering and terrorist financing, such as securities fraud and market manipulation. FINRA reviews a firm’s compliance with AML rules under FINRA Rule 3310, which sets forth minimum standards for a firm’s written AML compliance program.
A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? Answer: Probably not.A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in connection with the change of control of a privately held company. Should CABs be permitted to act as placement
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
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PART I