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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95-53 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 31, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of May 31, 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 |
|
OTY.GA |
Coty Inc. |
10.250 |
5/1/05 |
|
SCK.GC |
Sea Containers |
12.500 |
12/1/04 |
|
OI.GI |
Owens - Ill. |
10.000 |
8/1/02 |
|
SVN.GB |
Spectravision Inc. |
11.650 |
12/1/02 |
|
NOE.GA |
North Atlantic Energy |
9.050 |
6/1/02 |
|
DWCR.GA |
Dow Corning |
9.375 |
2/1/08 |
|
CMZ.GC |
Cincinnati Milacron |
8.373 |
3/15/04 |
|
TNC.GA |
Town & Country |
13.000 |
5/31/98 |
|
CITI.GA |
Citicasters Inc. |
9.750 |
2/15/04 |
|
KCAS.GA |
Kloster Cruise Ltd. |
13.000 |
5/1/03 |
|
BDEN.GA |
Bordern Chem. & Plas/B |
9.500 |
5/1/05 |
|
GAP.GA |
Gr Atlantic & Pacific |
9.125 |
1/15/98 |
|
GAP.GB |
Gr Atlantic & Pacific |
7.700 |
1/15/04 |
|
TRCK.GA |
Truck Components |
12.250 |
6/30/01 |
|
RPMB.GA |
Rapap New Brunswick |
10.625 |
4/15/05 |
|
RCCA.GC |
Rogers Cable System Ltd. |
10.000 |
3/15/05 |
|
WAX.GB |
Waxman Industries Inc. |
13.750 |
6/1/99 |
|
TDY.GA |
Teledyne Inc. |
10.000 |
6/1/04 |
|
HSRB.GB |
HealthSouth Rehabilitation |
9.500 |
4/1/01 |
|
MDFG.GB |
Midland Fdg Corp. I |
10.330 |
7/23/02 |
|
SCAL.GA |
Health-O-Meter Inc. |
13.000 |
8/15/02 |
|
IHS.GA |
Integrated Health Services |
10.750 |
7/15/04 |
|
HHI.GA |
Home Holdings |
8.625 |
12/15/03 |
|
HHI.GB |
Home Holdings |
7.750 |
12/15/98 |
|
EVI.GA |
Energy Venture |
10.250 |
3/15/04 |
|
CYCL.GB |
Cenntenial Cellular |
10.125 |
5/15/05 |
|
CVXP.GK |
CVX Power |
9.500 |
5/15/05 |
|
DOMP.GA |
Doman Industries Ltd. |
8.750 |
3/15/04 |
|
CUSI.GA |
Consoltex USA Inc. |
11.000 |
10/1/03 |
|
CANC.GA |
Calmar Inc. Del. |
12.000 |
12/15/97 |
|
BALD.GA |
The Baldwin Company |
10.375 |
8/1/03 |
|
GOU.GB |
Gulf Canada Resources Ltd. |
9.000 |
8/15/99 |
|
BVID.GA |
Blockbuster Entertainment |
6.625 |
2/15/98 |
|
PARA.GA |
Paramount Communications |
7.000 |
7/1/03 |
|
PARA.GB |
Paramount Communications |
7.000 |
7/1/03 |
|
PARA.GC |
Paramount Communications |
7.500 |
1/15/02 |
|
PARA.GD |
Paramount Communications |
8.250 |
8/1/22 |
|
PARA.GE |
Paramount Communications |
5.875 |
7/15/00 |
|
PARA.GF |
Paramount Communications |
7.500 |
7/15/23 |
|
PODX.GA |
Poindexter (J.B.) |
12.500 |
5/15/04 |
|
FD.GA |
Federated Department Stores |
10.000 |
2/15/01 |
|
WBN.GA |
Wanban Inc. |
11.000 |
5/15/04 |
As of May 31, 1995, the following bond was deleted from FIPS:
|
Symbol |
Name |
|
TNV.GA |
Tennessee Valley Authority |
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.
