SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
CSTR.GA
Coinstar Inc
13.000
10/01/06
EPHO.GA
Econophone Inc
13.500
07/15/07
RDMS.GA
RDM
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 24, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
FRC.GC
First Republic Bancorp Inc.
7.750
09/15/12
IPX.GA
Interpool Capital Trust
I find the proposed FINRA's potential regulations notice 22-08 as it will put undo restrictions on my ability to invest as an individual. The current proposed requirement for a test is not fully defined nor is the process in which it will be administered defined. Who will prepare the study material, who will administer the test, and how long is the certification valid after you pass the
Terms and acronyms candidates may encounter in FINRA qualification exams.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of April 27, 1994, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,610:
Symbol
Company
Entry Date
SOESSM Execution Level
ADAX
Applied Digital Access, Inc.
3/29/94
500
CMSH
Cameron Ashley Inc.
3/29/94
500
CHPP
Champps Entertainment, Inc.
3/29/94
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 15, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,996:
Symbol*
Company
Location
ADDR
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 15, 1987, the following 5 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,066:
Symbol*
Company
Location
CLHB
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The OTC Bulletin Board is scheduled to start June 1. The OTC Bulletin Board includes the first real-time display of firm and nonfirm quotation information on potentially more than 10,000 thinly traded
FINRA (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6952 to exclude certain orders and transactions in foreign equity securities from the Order Audit Trail System ("OATS") recording and reporting requirements.
INFORMATIONAL
Three Quote Rule
Effective Date: November 24, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Best Execution
NASD Rule 2320
NASD Rule 3110
Trading
Executive Summary
On September 21, 2000, the Securities and Exchange Commission (SEC) approved amendments to National
