FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
<p>Short Sale Netting Requirements and Aggregation Units<br />
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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
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.
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
FINRA disciplinary actions for the month of June 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
