INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On July 7, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 26 of the NASD Rules of Fair Practice relating to asset-based sales charges by mutual funds.
While I support education about so-called 'complex' investment products, imposing restrictions on purchasing such products is not the right approach. For many years, financial products have been plagued with excessive 'legalese' -- which is the biggest barrier to investors understanding the products in which they are investing. Even the SEC is guilty of obnoxiously wordy
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The second session of the 102nd Congress, which adjourned on October 9, 1992, passed only one major bill of direct interest to the securities industry, the Futures Trading Practices Act. Other proposed
As of 11/16/2021, Jane Street (MPIDs: JSCA and JSEB) is no longer a registered ADF Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF). For any questions, please contact FINRA Business Services at (212) 858-4342.
Leave the system as it is. Let the individual investors make their decision on where and how to invest their money.
The time is now to fix this broken system. I am not leaving.
Effective Date: April 1, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1998, foreign equities and American Depositary Receipts (ADRs) that are not registered with the Securities and Exchange Commission (SEC) under Section 12 of the Exchange Act will no longer be
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSystemsTrading
As of December 28, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,752:
BPTM
Bridgeport Machines, Inc.
11/29/94
500
VECO
Veeco Instruments, Inc.
11/29/94
500
AMSE
American Mobile Systems, Inc
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
