SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571:
Symbol
Company
Entry Date
SOESSM Execution Level
CHGNF
AES China Generating Co. Ltd. (Cl A)
2/24/94
500
EFCX
Electric Fuel Corporation
2/24/94
500
GVIL
Global Village Communications, Inc.
2/24/
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of February 24, 1994, the following 62 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,537:
Symbol
Company
Entry Date
SOESSM Execution Level
SLOT
Anchor Gaming
1/28/94
500
NSTA
Anesta Corp.
1/28/94
500
GNPT
GP Financial Corp.
1/28/94
1000
INTM
Interim Services Inc.
1/28/94
FINRA has enhanced its engagement with key stakeholders to provide greater transparency and foster dialogue that helps us better understand the industry and markets we regulate.
Examination Findings
Changes to FINRA Advisory Committees
Small Firm Helpline
Small Firm Report
Additional Small Firm Initiatives
Changes to FINRA Rulemaking Process
Changes to Engagement with Member Firms:
I worked all my life to put something away to live on and I don't intend for it to be stolen by big government to [REDACTED] on worthless programs.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 24, 1991, the following 54 issues joined Nasdaq/NMS, bringing the total number of issues to 2,568:
Symbol
Company
Entry Date
SOES Execution Level
GNLB
Genelabs Technologies, Inc.
6/13/91
1000
GLYC
Glycomed Incorporated
6/13/91
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
We need to be able to Trade Leveraged ETNs that are more convenient to trade than Futures. Quality traders use these instruments for Volatility programs
I oppose FINRA limiting my ability to invest in whatever ETFs I want. I realize the potential losses I may incur, as well as understanding that I may gain from these investments as well. I feel like this is a bit of control by the government. It is my money to risk. I should not be denied the access to these investments.
Please allow all investors to retain access to leveraged and inverse funds. The risks of such things are well documented and investors are warned adequately prior to making buy and sell orders. Allow us to invest how we feel is most beneficial for our own well being.
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
