Notice To Members 93-53
SUGGESTED ROUTING |
Senior Management |
Executive Summary
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 |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Legal & Compliance |
Executive Summary
SUGGESTED ROUTING |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Senior Management
Internal Audit
Operations
Trading
On June 30, 1988, the maximum Small Order Execution System (SOESSM) order size for all Nasdaq National Market® securities was established as follows:
SUGGESTED ROUTING |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Legal & Compliance |
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 6, 1993, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
SUGGESTED ROUTING |
Internal Audit |
As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186:
Symbol |
Last Voting Date: October 29, 1993
SUGGESTED ROUTING |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Legal & Compliance |
Executive Summary