Notice To Members 92-35
SUGGESTED ROUTING:* |
Internal Audit |
As of May 27, 1992, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 2,863:
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.
SUGGESTED ROUTING:* |
Internal Audit |
As of May 27, 1992, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 2,863:
SUGGESTED ROUTING:* |
Senior Management |
MAIL VOTE
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
MAIL VOTE
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Internal Audit |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Internal Audit |
As of June 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,900:
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Internal Audit |
SUGGESTED ROUTING:* |
Senior Management Legal & Compliance Municipal Operations Systems *These are suggested departments only. Others may be appropriate for your firm. |
On July 6, 1992, the Securities Investor Protection Corporation (SIPC) instituted a Direct Payment Procedure for: