Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the SEC. Members must halt quoting and trading otherwise
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679:
Symbol
Company
Entry Date
SOES Execution Level
DSGT
Designatronics Incorporated
6/29/94
200
WCBO
West Coast Bancorp
6/29/94
200
BELW
Bellwether Exploration Company
6/30/94
200
HMNF
HMN Financial Resources
6/30/94
500
MSNS
MediSense, Inc.
6/30
For Your Information
National Association of Securities Dealers, Inc.
April 1989
NASD Releases Interpretive Summaries Under SEC Rule 19c-4
The NASD recently made available summaries of interpretive letters issued under Securities and Exchange Commission Rule 19c-4. That rule prohibits the major securities markets from listing companies that issue securities or take other corporate actions
I am John Gannon, Senior Vice President for Investor Education with the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
You must be a licensed or otherwise qualified medical professional whose credentials are appropriate to diagnose and evaluate the participant's disability. You are asked to make recommendations that are reasonable and appropriate for the participant's disability in taking the Continuing Education (CE) Regulatory Element program. Your recommended accommodations should not fundamentally
INFORMATIONAL
Annual Compliance Certification and Designation of Chief Compliance Officer
Compliance Date: December 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
CCO
CEO
Certification
Compliance
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 5, 1987, 19 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,869. These 19 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
Comment Period Expires August 30, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On July 14, 1995, the NASD® Board of Governors approved the issuance of a Notice to Members to solicit comment on the refined proposal for a nationwide limit-order protection and price improvement
I have been investing in leveraged mutual funds for several years. They helped me earn my first and second million dollars. I hear you are considering limiting access to only the very wealthy who can also pass a test. I asked you not to do this. If you were to make regulation please at least allow those of us that could pass a test expressing a reasonable level of understanding of market risk to
I likely would fit all the criteria (VHNW, etc.) which I sort of sign off on for options trading at Fidelity yet I oppose this action. There are better ways to achieve investor protection without making them jump through hoops which in practice just turn out to be theatre.
I agree with extensive warning and labels to ward off uneducated investors. But regulator imposed tests, etc. are just
