For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 13, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The proposed amendment would conform the NASD rule to that of the New York Stock Exchange.
The text of the proposed amendment is attached.
BACKGROUND
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 20, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,077:
|
Symbol* |
Company |
TO: All NASD Members and Other Interested Persons
SUMMARY
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 20, 1987, the United States District Court for the Western District of Michigan appointed a SIPC trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC contracts. Also, MSRB Rule G-12(h)(iv) provides that members may use the above procedures to close out transactions in municipal securities.
Questions regarding the firm should be directed to:
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 3, 1987, the following 15 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,087:
|
Symbol* |
Company |
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 4, 1987.
EXECUTIVE SUMMARY
The NASD is publishing for comment a revision to its proposed amendment to the Interpretation of the Board of Governors on Free-Riding and Withholding that would provide members with an alternative means of complying with the Interpretation for sales of new issues to investment partnerships.
The text of the proposed amendment is attached.
BACKGROUND
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 17, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,076:
|
Symbol* |
Company |
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On January 1, 1988, the options regulators will install a revised ROP qualification examination on the PLATO testing network. The revised examination will be expanded to include index, interest rate, and foreign currency option questions. A revised Series 4 study outline incorporating the new material will be available shortly.
BACKGROUND
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On January 4, 1988, the NASD will install the Limited Representative—Corporate Securities category of registration on the Central Registration Depository System. This new registration category will qualify persons associated with NASD members to solicit, purchase, or sell corporate securities, as defined in the amendment to Schedule C Part III, Section 2(e) to the NASD By-Laws.