SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of July 13, 1990, the following 19 issues joined NASDAQ/NMS, bringing the total number of issues to 2,645:
Symbol
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
The Securities and Exchange Commission has recently approved revisions to several NASD qualification examinations. These changes become effective May 1, 1995. The revised examinations include the following.
Investment Company Products/Variable Contracts Representative
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
VOUT.GB
Universal Outdoor Inc
9.750
10/15/06
GGSY.GA
Gross Graphic System Inc
12.000
10/15/06
AGY.GA
Argosy Gaming Co
NASD has filed with the SEC a proposed rule change to amend Rules 4300A and 4619A(g) to give jurisdiction to NASD’s Market Regulation Committee to review system outage determinations under Rule 4300A(f) and excused withdrawal denials under Rule 4619A, respectively. The proposed rule change would apply during the time that the NASD Alternative Display Facility operates on a pilot basis.
I fall into the category of investors which this regulatory notice is aiming to protect: I am a relatively young retail investor who has chosen to invest in complicated funds on a self direct brokerage. Therefore, I feel the need to discuss my experience with complex products.
I acknowledge that these funds are more complicated than conventional products. However, complication does not mean
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Dear Regulators,
How else can you exclude me (us) from the chance to acquire some wealth?
I have managed my personal finances for decades and with much success, my investments, me not a broker, not a firm, but me/myself.
My ability to choose my course of action is mine, not yours. This is a capitalist society, why should you tell me where to invest. These are legal public options. Although,
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Rule 6957 to extend the effective date of the implementation of Phase Three of the Order Audit Trail System rules to 120 days after SEC approval of SR-NASD-00-23 (April 19, 2000), which also proposes changes to the OATS rules.
I should be able to choose any investment I would like without any special tests or testing. Investing in cryptocurrencies is a very important aspect in the diversification of my investment portfolio.
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571:
Symbol
Company
Entry Date
SOESSM Execution Level
CHGNF
AES China Generating Co. Ltd. (Cl A)
2/24/94
500
EFCX
Electric Fuel Corporation
2/24/94
500
GVIL
Global Village Communications, Inc.
2/24/
