TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The FINRA Board approved FINRA’s 2025 budget and a rulemaking item related to outside business activities and private securities transactions, and appointed new members to the SFAC and NAC.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 19, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,472. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Sec. 9.1 The seal of FINRA Dispute Resolution shall be circular in form and shall bear, in addition to any other emblem or device approved by the Board, the name of FINRA Dispute Resolution, the year of its incorporation, and the words "Corporate Seal" and "Delaware." The seal may be used by causing it to be affixed or impressed, or a facsimile thereof may be
This proposed legislation makes no sense to me. Every investment caries risk. In fact, most stocks are a poor investment choice. Right now even the PURCHASE OF A HOME is probably a terrible investment choice. Nevertheless, as a citizen I am under the impression that it is still my right to make my own choices regarding how I invest my money.
I think it is absurd to presume that only a "
SEC Approval and Effective Date for New Consolidated FINRA Rules
INFORMATIONALOptions ExemptionSUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperations ManagersSenior Management Options ExemptionTrading Activity Fee Executive SummaryOn May 30, 2003, the Securities and Exchange Commission (SEC or Commission) permanently approved revisions to NASD By-Laws, eliminating the current Regulatory Fee assessed upon NASD members
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 19, 1986, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,517. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
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
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 17, the National Market System will include 881 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet 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 50 securities scheduled to
