HelpFINRA Manual: Contents
FINRA Manual
Corporate Organization Notices
1995
95-104 Expanded Sign-In Procedures At The PROCTOR Centers, Effective February 1, 1996; And PROCTOR Adds Remote Delivery Sites
95-103 SEC Approves A Policy That Delegates Authority To The NASD Staff And The NASD Fixed Income Committee To Review Member Requests For Exemptions From MSRB Rule G-37(b)
95-101 Mail Vote—NASD Solicits Member Vote On Amendments To The NASD By-Laws To Reconfigure The NASD Board And Establish A National Nominating Committee;
95-88 Treasury Delays Effective Date Of Wire Transfer Recordkeeping Requirements Until April 1, 1996; Proposes Clarifying Amendments
95-85 Clarification Of NASD Notice to Members 95-16 And NYSE Information Memorandum 95-16: Content And Enforcement Of Provisions In Customer Agreements And Predispute Arbitration Clauses
95-83 SEC Approves Rules Permitting Arbitration Participants To Seek Injunctive Relief From Arbitrators
95-81 SEC Approves Rules For Reporting Customer Complaint Information; Special NASD Notices to Members
95-80 NASD Further Explains Members Obligations And Responsibilities Regarding Mutual Funds Sales Practices
95-76 SEC Permits NASD To Discipline Members And Associated Persons Who Fail To Honor Arbitration Or Mediation Settlement Agreements
95-73 NASD Requests Comment On Member Obligations To File Certain Exchange Offers That Result In Public Distributions;
95-69 Treasury Amends Bank Secrecy Act; Requires Additional Recordkeeping Requirements For Wire Transfers
95-64 SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice And Part I Of Schedule D To The NASD By-Laws Relating To Limited Partnership Rollup Transactions
95-63 SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice Relating To Freely Tradeable Direct Participation Program Securities
95-61 Mail Vote—NASD Solicits Member Vote On Amendments To The By-Laws To Include Statutory Disqualification Provisions Adopted By Congress;
95-56 NASD Files With The SEC Proposals Related To Non-Cash Incentive Programs, Disclosure Of Cash Compensation, And Direct Payments To Associated Persons
95-54 SEC Approves Amendments To Article III, Section 21 Of The NASD Rules Of Fair Practice Relating To Cold-Calling Requirements
95-50 Availability Of New Qualification Examination For Registered Options Limited Representative (Series 42)
95-47 SEC Approves NASD Proposal To Raise Position Limits For Certain Equity Securities Not Subject To Standardized Options Trading
95-45 SEC Approves Amendments To NASD Interpretation Of Forwarding Of Proxy And Other Materials Under Article III, Section 1 Of The Rules Of Fair Practice
95-44 Request For Comments On Proposed Amendments To The Exception To The Qualified Independent Underwriter Requirement In Schedule E To The NASD By-Laws;
95-37 SEC Approves NASD Proposal Amending The Foreign-Associate Provisions Of Schedule C To The NASD By-Laws
95-36 SEC Approves T+3-Related Amendments To The NASD Uniform Practice Code And Rules Of Fair Practice
95-33 Mail Vote—NASD Solicits Member Vote On Measures To Discipline Members And Registered Persons For Failing To Honor Arbitration And Mediation Settlement Agreements; Last Voting Date: June 15, 1995
95-29 Treasury Approves Amendments To Capital Requirements Under The Government Securities Act Of 1986
95-28 Treasury Provides Government Securities Broker/Dealers With Exemptive Relief In Calculating Haircuts For Options On Certain Mortgage-Backed Securities
95-24 SEC Approves Recordkeeping And Reporting Requirements For Trading Systems Operated By Broker/Dealers
95-22 SEC Approves Amendments To Article III, Section 44 Of The NASD Rules Of Fair Practice About Filing Requirements For Modified Guaranteed Annuity And Life Insurance Contracts
95-21 Request For Comments On Proposed Suitability Obligations To Institutional Customers Interpretation;
95-20 NASD Solicits Member Comment On Proposals For Comprehensive Improvements To The Regulation And Operation Of The Nasdaq Stock Market;
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95-100 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 27, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of October 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM):
| Symbol | Name |
Coupon |
Maturity |
| BG.GA | Brown Group |
7.375 |
1/15/98 |
| PRWL.GB | Price Cellular Wireless |
12.250 |
10/1/03 |
| UAL.GH | United Air |
10.110 |
2/19/06 |
| UAL.GI | United Air |
10.850 |
7/5/14 |
| UAL.GJ | United Air |
10.850 |
2/19/15 |
| UAL.GK | United Air |
9.760 |
5/13/06 |
| UAL.GL | United Air |
9.760 |
5/27/06 |
| UAL.GM | United Air |
10.360 |
11/27/12 |
| UAL.GN | United Air |
10.670 |
5/1/04 |
| UAL.GO | United Air |
11.210 |
5/1/14 |
| CAWS.GA | CAI Wireless Systems |
12.250 |
9/15/02 |
| PTPK.GA | Portola Packaging |
10.750 |
10/1/05 |
| NMK.GA | Niagara Mohawk Power |
5.875 |
11/1/96 |
| NMK.GB | Niagara Mohawk Power |
6.250 |
8/1/97 |
| NMK.GC | Niagara Mohawk Power |
6.500 |
8/1/98 |
| NMK.GD | Niagara Mohawk Power |
9.250 |
10/1/01 |
| NMK.GE | Niagara Mohawk Power |
9.500 |
6/1/00 |
| NMK.GF | Niagara Mohawk Power |
9.750 |
11/1/05 |
| NMK.GG | Niagara Mohawk Power |
9.500 |
3/1/21 |
| NMK.GH | Niagara Mohawk Power |
8.750 |
4/1/22 |
| NMK.GI | Niagara Mohawk Power |
8.000 |
6/1/04 |
| NMK.GJ | Niagara Mohawk Power |
8.500 |
7/1/23 |
| NMK.GK | Niagara Mohawk Power |
7.375 |
8/1/03 |
| NMK.GL | Niagara Mohawk Power |
6.875 |
4/1/03 |
| NMK.GM | Niagara Mohawk Power |
6.625 |
7/1/05 |
| NMK.GN | Niagara Mohawk Power |
7.875 |
4/1/24 |
| NMK.GO | Niagara Mohawk Power |
5.875 |
9/1/02 |
| NMK.GP | Niagara Mohawk Power |
6.875 |
3/1/01 |
| NMK.GQ | Niagara Mohawk Power |
7.750 |
5/15/06 |
| GUCO.GA* | Grand Union |
12.000 |
9/1/04 |
| NME.GD* | National Medical Enterprises |
10.125 |
9/1/04 |
| FD.GB | Federated Dept. Stores |
8.125 |
10/15/02 |
| MCLL.GA | Metrocall |
10.375 |
10/1/07 |
| SCIN.GA | SC Int'l Services |
13.000 |
10/1/05 |
| TLCB.GA | TLC Beatrice Int'l Hldgs. |
11.500 |
10/1/05 |
| RICE.GA | American Rice |
13.000 |
7/31/02 |
| GSTE.GA | GS Technologies Open |
12.250 |
10/1/05 |
| CMCS.GE | ComCast |
9.125 |
10/15/06 |
| CVDF.GA | CVD Financial |
0.000 |
7/31/08 |
| CMCS.GF | ComCast |
9.375 |
5/15/05 |
| THC.GC | Tenet Health Care Corp. |
8.625 |
12/1/03 |
| RHS.GA | Regency Health Svcs. |
9.875 |
10/15/02 |
| REIH.GA | Resorts Int'l Hotel Fin. |
11.375 |
12/15/04 |
| RIGS.GB | Riggs Nat'l |
8.500 |
2/1/06 |
| ORX.GG | ORYX Energy |
8.000 |
10/15/03 |
| ORX.GG | ORYX Energy |
8.125 |
10/15/05 |
| GSNP.GA | Garden St. Newspapers |
12.000 |
7/1/04 |
| ACUM.GA | A+ Communications |
11.875 |
11/1/05 |
| IHS.GB | Integrated Health Svcs. |
9.625 |
5/31/02 |
| PHP.GC | Petroleum Heat & Power |
9.375 |
2/1/06 |
As of October 27, 1995, the following bonds were deleted from FIPS:
| Symbol | Name | Symbol | Name | Symbol | Name |
| AMR.GR | AMR Corp. | CMS.HB | CMS Energy | CMS.ID | CMS Energy |
| AMR.GS | AMR Corp. | CMS.HC | CMS Energy | CMS.IE | CMS Energy |
| AMR.GT | AMR Corp. | CMS.HD | CMS Energy | CMS.IF | CMS Energy |
| CMS.GC | CMS Energy | CMS.HE | CMS Energy | CMS.IG | CMS Energy |
| CMS.GD | CMS Energy | CMS.HF | CMS Energy | ISAS.GA | Imperial Sav. Assn |
| CMS.GE | CMS Energy | CMS.HG | CMS Energy | MXS.GH | Maxus |
| CMS.GF | CMS Energy | CMS.HH | CMS Energy | MXS.GI | Maxus |
| CMS.GG | CMS Energy | CMS.HI | CMS Energy | MXS.GJ | Maxus |
| CMS.GH | CMS Energy | CMS.HJ | CMS Energy | MXS.GK | Maxus |
| CMS.GI | CMS Energy | CMS.HK | CMS Energy | MXS.GL | Maxus |
| CMS.GJ | CMS Energy | CMS.HL | CMS Energy | MXS.GM | Maxus |
| CMS.GK | CMS Energy | CMS.HM | CMS Energy | MXS.GN | Maxus |
| CMS.GL | CMS Energy | CMS.HN | CMS Energy | MXS.GO | Maxus |
| CMS.GM | CMS Energy | CMS.HO | CMS Energy | GAUN.GA | Grand Union |
| CMS.GN | CMS Energy | CMS.HP | CMS Energy | GAUN.GB | Grand Union |
| CMS.GO | CMS Energy | CMS.HQ | CMS Energy | GAUN.GC | Grand Union |
| CMS.GP | CMS Energy | CMS.HR | CMS Energy | HTI.GA | Health Trust |
| CMS.GQ | CMS Energy | CMS.HS | CMS Energy | HTI.GB | Health Trust |
| CMS.GR | CMS Energy | CMS.HT | CMS Energy | HTI.GC | Health Trust |
| CMS.GS | CMS Energy | CMS.HU | CMS Energy | BRNB.GA | Burnham |
| CMS.GT | CMS Energy | CMS.HV | CMS Energy | Broadcasting | |
| CMS.GU | CMS Energy | CMS.HW | CMS Energy | Company, L.P. | |
| CMS.GV | CMS Energy | CMS.HX | CMS Energy | NME.GA | National Medical |
| CMS.GW | CMS Energy | CMS.HY | CMS Energy | Enterprises | |
| CMS.GX | CMS Energy | CMS.HZ | CMS Energy | NME.GB | National Medical |
| CMS.GY | CMS Energy | CMS.IA | CMS Energy | Enterprises | |
| CMS.GZ | CMS Energy | CMS.IB | CMS Energy | ||
| CMS.HA | CMS Energy | CMS.IC | CMS Energy |
As of October 27, 1995, changes were made to the symbols and names of the following FIPS bonds:
| New Symbol | New Name | Old Symbol | Old Name |
| THC.GA | Tenet Health Care Corp. | NME.GC | National Medical Enterprises |
| THC.GB* | Tenet Health Care Corp. | NME.GD* | National Medical Enterprises |
* a mandatory FIPS bond
All bonds listed above are subject to trade-reporting requirements. Questions pertaining to trade-reporting rules should be directed to James C. Dolan, NASD Market Surveillance, at (301) 590–6460.
