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What instances require a change in the CUSIP number? A CUSIP number is assigned to each issue and may need to be changed when there is a Corporate Action. If there is a question as to whether an issuer needs to request a new CUSIP number, the company should contact the CUSIP Service Bureau directly at (212) 438-6565.
Generally pursuant to SEA Rule 10b-17, issuers must notify FINRA at least 10 days prior to the record date for such corporate action.
A CUSIP number is assigned to each issue and may need to be changed when there is a Corporate Action. If there is a question as to whether an issuer needs to request a new CUSIP number, the company should contact the CUSIP Service Bureau directly at (212) 438-6565.
A corporate action is an event\u2014agreed upon by a company's board of directors and authorized by its shareholders\u2014that causes material change to the company's securities. Typically, corporate actions can be considered voluntary or mandatory.
UPC stands for Universal Product Code. It's a barcode, mainly used in the United States, that is printed on retail product packaging. The UPC is primarily used for scanning trade items at the point of sale (per GS1 specifications, based on international standards).
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What Is a Settlement Date? The settlement date is the date when a trade is final, and the buyer must make payment to the seller while the seller delivers the assets to the buyer. The settlement date for stocks and bonds is usually two business days after the execution date (T+2).
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.
You must be registered with FINRA if you're engaged in the securities business of your firm, which includes salespersons, branch managers, department supervisors, partners, officers and directors. You are required to pass qualification exams to demonstrate competence in your particular securities activities.
FINRA set June 1, 2022, as the first "evaluation date" for FINRA's new Rule 4111 ("Restricted Firm Obligations"). The new rules addressing firms with a significant history of misconduct went into effect on January 1, 2022.
FINRA set June 1, 2022, as the first "evaluation date" for FINRA's new Rule 4111 ("Restricted Firm Obligations"). The new rules addressing firms with a significant history of misconduct went into effect on January 1, 2022.

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