Summary
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.
Questions regarding this Notice
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 20, 1992, the following 30 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,956:
Symbol
Company
Entry Date
SOES Execution Level
EZEMB
E-Z-EM, Inc. (Cl B)
10/27/92
1000
HALO
HA-LO Industries
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
TO: All NASD Members and Other Interested Persons
It has come to the NASD's attention that some members are engaging in a practice whereby market making or wholesale dealers pay retail firms to direct those firms' customer orders to the market maker. The Board of Governors has established a special subcommittee of the National Business Conduct Committee to study potential problems
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, and any retail communication (as
Continuing Education Planning
Rule Filing Status As Of December 3, 1996
NASD Rule Filing Status
Following is a list of rule filings by the NASD regarding broker/dealer regulation that are pending at the Securities and Exchange Commission (SEC) or recently approved. The information set forth below is current as of December 3, 1996. Copies of rule filings (and any amendments thereto), the SEC release publishing the rule
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
