SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947:
Symbol
Company
Entry Date
SOES Execution Level
FMDD
F & M Distributors, Inc.
9/25/92
500
USML
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is highlighting a statement released today by President Biden regarding possible threats to our nation’s cyber security, urging private sector companies to remain vigilant and harden their cyber defenses "immediately" based on "evolving intelligence that the Russian
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 46 securities will join the 926 trading in the NASDAQ National Market System on Tuesday, June 19, 1984. These 46 securities have met the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 46 securities scheduled to join NMS on
The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.
INFORMATIONAL
Registration Rules
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Principals
Registration
Registered Representatives
Senior Management
Training
Registration Rules
Executive Summary
On February 26, 2003, NASD filed with the Securities and Exchange Commission
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 10, 1990, the NASD implemented a new feature for the Small Order Execution System (SOES) Limit-Order File — a matching service. Matching allows an opportunity for customer limit orders, priced
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization. fileX will eventually replace the different legacy file transfer methods in use today.
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
