Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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FINRA has revised the following examination programs:
INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
On Friday, February 19, 2021, FINRA introduced a new Historical Data API via the FINRA API Developer Center (developer.finra.org). The OTC Transparency Weekly Summary will be the first dataset available via the Historical Data API and will be named WeeklySummaryHistoric. This change is designed to facilitate those API users who are downloading large amounts of historical data
Comment Period Expires October 15, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with
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
