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
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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.
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
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
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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
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
