Displaying 1501 - 1510 of 8261 Results
Notice To Members 94-100
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of November 28, 1994, the following 37 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,739: Symbol Company Entry Date SOES Execution Level CVTI Covenant Transport, Inc. (Cl A) 10/28/94 500 LION Fidelity Southern Corp. 10/31/94 200 BUMM B.U.M. International, Inc.
Notice To Members 88-9
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, February 2, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040: Symbol* Company Location AIMG
3130. Annual Certification of Compliance and Supervisory Processes
(a) Designation of Chief Compliance Officer(s) Each member shall designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer. (b) Annual Certification Requirement Each member shall have its chief executive officer(s) (or equivalent officer(s)) certify annually,1 as set forth in paragraph (c), that the member
OATS Report - March 3, 2003
NASD is publishing this article to provide guidance to firms on how to report order events to OATS when using an "intelligent" order routing system.
Notice To Members 88-39
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, June 7, 1988, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,950: Symbol* Company Location CPAK
Notice to Members 04-16
INFORMATIONALExpungementEffective Date: April 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementArbitrationCentral Registration Depository (CRD®)Customer Dispute InformationDispute ResolutionExpungementRule 2130Executive SummaryOn December 16, 2003, the Securities and Exchange Commission (SEC) approved new Rule 2130 concerning the
Notice To Members 83-58
TO: All NASD Members and NASDAQ Subscribers On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
How FINRA Serves Investors and Members
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
Notice to Members 06-53
GUIDANCE Short Sales SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Trading Bona Fide Market Making Short Sales Rule 5100 IM-5100 Executive Summary Rule 5100 generally prohibits a member from effecting short sales in NASDAQ Global Market (NGM) securities1 otherwise than on an exchange for a customer account, or the
Notice To Members 94-94
Comment Period Expires February 15, 1995 SUGGESTED ROUTING Senior ManagementAdvertisingLegal & ComplianceMutual Fund Executive Summary The National Association of Securities Dealers, Inc. (NASD) requests comment on proposed amendments to the NASD Rules of Fair Practice to adopt rules governing broker/dealers operating on the premises of financial institutions. The proposed rules