Displaying 1781 - 1790 of 8815 Results
Notice To Members 83-28
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers The National Market System will expand to 329 securities on June 21 when 50 more NASDAQ issues are voluntarily added to the 279 securities already trading on the System. These 50 securities meet the SEC's criteria for voluntary designation, which include an average monthly trading volume of 100,000 shares and a minimum bid
Notice To Members 84-4
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, February 14, the National Market System will include 789 securities as 50 more NASDAQ securities are phased into the System. (A week earlier, 12 mandatory designations will join NMS). These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month
Notice To Members 90-34
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of April 12, 1990 the following 18 issues joined NASDAQ/NMS bringing the total number of issues to 2,670: Symbol
Regulatory Notice 13-38
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA Plans to Disseminate Odd Lot Transactions
In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
Notice To Members 88-61
SUGGESTED ROUTING* Senior Management Legal & Compliance OperationsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Small Order Execution System (SOES) was created to allow public customers to enter orders of limited size into the NASDAQ System for immediate execution at the best available price. Section 3(c) of the SOES
Regulatory Notice 13-45
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Notice to Members - FYI - August 2000
Various updates.
Testimony Before Employee Benefits Security Administration Advisory Council on Employee Welfare and Pension Benefit Plans
Testimony Before Employee Benefits Security Administration Advisory Council on Employee Welfare and Pension Benefit Plans
Janet Holcomb Comment On Regulatory Notice 22-08
I should not be regulated to choose investment or have to go through any specialist processes, testing, broker to leverage/inverse funds and risk.