SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,838
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
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
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
Please oppose this archaic proposal. The old system is in need of modernization. Crypto is a reality, will not be stopped.
I strongly oppose these proposed restrictions on my right to buy and sell investments as I choose. Don't impede my ability to act with bureaucratic testing and trying to impose requirements with the general terminogy of "complex trades", cooling off periods, testing (really?), prove my net worth, training, etc. I shouldn't be required to tell you I'
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm
As of November 21, 1988, the following 25 issues joined the NASDAQ National Market System, bringing the total number of issues in
We desperately need more reporting, and ACCOUNTABILITY in our financial system. The public is losing all confidence in our financial system and are going to stop participating in a system that's rigged.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of August 23, 1991, the following 53 issues joined Nasdaq/NMS, bringing the total number of issues to 2,605:
Symbol
Company
Entry Date
SOES Execution Level
VRTX
Vertex Pharmaceuticals Incorporated
7/24/91
1000
CATH
Catherines Stores
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 11, 1989, the following 28 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market
