NASD has filed with the Securities and Exchange Commission (“SEC” or “Commission”) Notice to Members (“NtM”) 05-11, providing further guidance regarding members’ obligations under Section 3 of Schedule A to the NASD By-Laws (Regulatory Transaction Fees) and a self-reporting form that is used by members to report trade data that is not captured by NASD’s trade reporting system.
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The TRACE Reporting section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystems Trading
As of October 27, 1994, the following 45 issues joined the Nasdaq National Market, bringing the total number of issues to 3,732:
Symbol
Company
Entry Date
SOES Execution Level
MTLG
Metrologic Instruments, Inc.
9/29/94
500
ALRM
Protection One, Inc.
9/29/94
1000
GCHI
Giant Cement Holding, Inc.
9/30/94
It should be up to individual investors to decide for themselves whether a particular product is appropriate for them to invest in. Having the inability to invest in complex funds or ETFs would limit me to actually beat the market . . . which it is why I use them as part of my investment strategy. Having to go through a special process in order to invest in such funds is like taking a test in
Sec. 1. (a) The Board shall be the governing body of the Corporation and, except as otherwise provided by applicable law, the Restated Certificate of Incorporation, or these By-Laws, shall be vested with all powers necessary for the management and administration of the affairs of the Corporation and the promotion of the Corporation's welfare, objects, and purposes. In the exercise
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of January 27, 1994, the following 43 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,499:
Symbol
Company
Entry Date
SOESSM Execution Level
ALMIW
Alpha Microsystems (Wts Exp 9/1/98)
1/3/94
500
HALL
Hallmark Capital Corp.
1/3/94
200
SECP
Security Capital
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 19, 1991, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,673:
Symbol
Company
Entry Date
SOES Execution Level
HDVS
H.D. Vest, Inc.
11/25/91
1000
HDVSW
H.D. Vest, Inc. (CIA
