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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95-58 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 27, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of June 27, 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 |
|
DOHJ.GA |
Doehler-Jarvis |
11.875 |
6/1/02 |
|
TEXN.GC |
Tex-N.M. Power |
10.000 |
7/1/17 |
|
DAL.GW |
Delta Air |
8.540 |
1/2/07 |
|
VIA.GB |
Viacom Inc. |
7.750 |
6/1/05 |
|
SCTT.GA |
Scotts Company |
9.875 |
8/1/04 |
|
AFIN.GD |
AmFinl |
9.750 |
4/20/04 |
|
RT.GC |
Resorts Int'l Hotel Fin |
11.000 |
9/15/03 |
|
SGH.GA |
Surgical Health |
11.500 |
7/15/04 |
|
MCU.GB |
Magma Coper |
8.700 |
5/15/05 |
|
GHU.GB |
Genesis Health Ventures |
9.750 |
6/15/05 |
|
MA.GA |
Advance Medical |
15.000 |
7/15/99 |
|
CMS.HH |
CMS Energy |
7.500 |
4/15/98 |
|
CMS.HI |
CMS Energy |
7.250 |
4/15/98 |
|
CMS.HJ |
CMS Energy |
7.625 |
4/15/00 |
|
CMS.HK |
CMS Energy |
7.250 |
4/15/98 |
|
CMS.HL |
CMS Energy |
7.125 |
4/15/98 |
|
CMS.HM |
CMS Energy |
7.500 |
4/15/00 |
|
CMS.HN |
CMS Energy |
7.375 |
4/15/98 |
|
CMS.HO |
CMS Energy |
7.250 |
4/15/98 |
|
CMS.HP |
CMS Energy |
7.625 |
4/15/00 |
|
CMS.HQ |
CMS Energy |
7.125 |
5/15/98 |
|
CMS.HR |
CMS Energy |
7.000 |
5/15/98 |
|
CMS.HS |
CMS Energy |
7.375 |
5/15/00 |
|
CMS.HT |
CMS Energy |
7.125 |
5/15/98 |
|
CMS.HU |
CMS Energy |
7.000 |
5/15/98 |
|
CMS.HV |
CMS Energy |
7.375 |
5/15/00 |
|
CMS.HW |
CMS Energy |
7.000 |
5/15/98 |
|
CMS.HX |
CMS Energy |
7.000 |
5/15/98 |
|
CMS.HY |
CMS Energy |
7.250 |
5/15/00 |
|
CMS.HZ |
CMS Energy |
6.875 |
5/15/98 |
|
CMS.IA |
CMS Energy |
6.650 |
5/15/98 |
|
CMS.IB |
CMS Energy |
7.000 |
5/15/00 |
|
CMS.IC |
CMS Energy |
7.000 |
5/15/98 |
|
CMS.IG |
CMS Energy |
7.000 |
6/15/98 |
|
CMS.IF |
CMS Energy |
7.000 |
6/15/98 |
|
CMS.ID |
CMS Energy |
7.000 |
6/15/98 |
|
CMS.IE |
CMS Energy |
6.875 |
6/15/98 |
|
WAB.GA |
Westinghouse Air Brake |
9.375 |
6/15/05 |
|
TRTX.GB |
TransTexas Gas |
11.500 |
6/15/02 |
|
IK.GB |
Interlake |
12.000 |
11/15/01 |
|
CAFC.GA |
Carolina First |
9.000 |
9/1/05 |
|
BKFT.GA |
Berkeley Fed'l B&T |
12.000 |
6/15/05 |
As of June 27, 1995, the following bond was deleted from FIPS:
|
Symbol |
Name |
|
SHRG.GA |
Sherritt Gordon Ltd |
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.
