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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95-93 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 28, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of September 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
| Symbol | Name |
Coupon |
Maturity |
| SINC.GB | Sinclair Broadcast |
10.000 |
9/30/05 |
| OWI.GA | Owens-Ill |
10.000 |
8/1/02 |
| ACME.GB | Acme Metals |
13.500 |
8/1/04 |
| TBS.GC | Turner Br |
7.400 |
2/1/04 |
| TRNL.GA | Total Renal Care |
12.000 |
8/15/04 |
| TBS.GD | Turner Br |
8.400 |
2/1/24 |
| KOGC.GA | Kelley Oil & Gas |
13.500 |
6/15/99 |
| RBK.GA | Reebok |
9.750 |
9/15/98 |
| FRP.GA | Freeport-McMoRan Res |
8.750 |
2/15/04 |
| TWA.GC | Trans World Airlines |
12.000 |
11/3/98 |
| GLXT.GA | Galaxy Telecom LP/CAP |
12.375 |
10/1/05 |
As of September 28, 1995, changes were made to the symbols and names of the following FIPS bonds:
| New Symbol | New Name | Old Symbol | Old Name |
| IGL.GA | IMC Global Inc | IFL.GA | IMC Fertilizer Group |
| IGL.GB | IMC Global Inc | IFL.GB | IMC Fertilizer Group |
As of September 28, 1995, changes were; made to the symbols of the following FIPS bonds:
| New Symbol | Old Symbol | Name |
| OI.GI | OWI.GA | Owens-Ill |
| SBGI.GA | SINC.GA | Sinclair Broadcast |
| SBGI.GB | SINC.GB | Sinclair Broadcast |
Two bonds were listed in the September 1995 edition of Notices to Members with incorrect maturity dates. The correct listings for these bonds are:
| Symbol | Name |
Coupon |
Maturity |
| CNC.GA | Conseco |
8.125 |
2/15/03 |
| BRUO.GA | Bruno's |
10.500 |
8/1/05 |
All bonds listed above are subject to trade-reporting requirements. Questions pertaining to trade-reporting rules should be directed to Bernard Thompson, Assistant Director, NASD Market Surveillance, at (301) 590–6436.
