SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of August 21, 1995, the following 59 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,863:
Symbol
Company
Entry Date
SOES Execution Level
CBXC
Cybex Computer Products Corporation
7/28/95
500
FLCN
Falcon Drilling
Remarks From the Security Traders Association Annual Conference
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 19, 1988, the following four 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
DIFD
FINRA emphasizes the obligations of members to report securities transactions within the required time period. All reportable transactions not reported within the required time period shall be marked late, and FINRA routinely monitors members' compliance with the reporting requirements. If FINRA finds a pattern or practice of unexcused late reporting, that is, repeated reports of
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of August 24, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ABLC.GA
American Builders & Contractors Inc
10.625
05/15/07
AFGH.GA
Affinity Group Holding Inc
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 20, 1992, the NASD® submitted to the Securities and Exchange Commission (SEC) a letter responding to the SEC's request for comments on today's market structure and regulatory environment
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186:
Symbol
Company
Entry Date
SOES Execution Level
CFBKP
Citizens Federal Bank, A Federal Savings Bank
6/23/93
200
PITC
Pittencrieff Communications, Inc.
6/23/93
1000
RCAP
Re Capital
August 16, 2001In an effort to reduce the number of duplicate email files submitted to OATS, the system will now send back two emails to each firm that transmits FORE files via email. The first email simply notifies the transmitting entity that OATS received your email and will process your file. The second email continues to provide the status of the FORE file as we do today.Firms are asked not
