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Notice To Members 93-22
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of February 22, 1993, the following 44 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,998: Symbol Company Entry Date SOES Execution Level PHSV Physicians Health Svcs, Inc. (Cl A) 1/22/93 1000 CEGE Cell Genesys, Inc. 1/26/93 500 BSRF BioSurface Technology, Inc. 1/27/93
Name Not Public
This request for exemptive relief is granted based on the representations that the Contributions were made prior to the individual's employment with the Firm, and the individual has never been involved in municipal securities business as defined by MSRB Rule G-37. Additionally, the Firm has agreed to institute information barriers and compensation restrictions, and the contributions have been returned.
Notice To Members 92-55
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of September 25, 1992, the following 35 issues joined the Nasdaq National Market, bringing the total number of issues to 2,934: Symbol Company Entry Date SOES Execution Level SNSC Swing-N-Slide Corp. 8/28/92 1000 ABMD ABIOMED, Inc. 8/
Notice to Members 96-12
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984: Symbol Company Entry Date SOES Execution Level ESTR ElectroStar, Inc. 12/21/95 200 FRAG French Fragrances, Inc. 12/21/95 200 HOMEF Home Centers (DIY), Limited (Ord Shs) 12/21/95 500 RGNT Regent Assisted
Notice To Members 85-47
TO: All NASD Members and Level 2 and Level 3 Subscribers On Tuesday, July 16, 1985, 21 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,057. These 21 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Notice To Members 94-42
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of April 27, 1994, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,610: Symbol Company Entry Date SOESSM Execution Level ADAX Applied Digital Access, Inc. 3/29/94 500 CMSH Cameron Ashley Inc. 3/29/94 500 CHPP Champps Entertainment, Inc. 3/29/94
Notice To Members 94-97
Comment Period Expires January 17, 1995 SUGGESTED ROUTING Senior ManagementGovernment SecuritiesInternal AuditLegal & Compliance Executive Summary The Department of the Treasury (Treasury) is publishing for comment proposed amendments under the Government Securities Act of 1986 (GSA). The amendments would establish risk assessment rules for government securities broker/dealers
Notice To Members 94-77
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of August 29, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,707: Symbol Company Entry Date SOES Execution Level DSYT Dorsey Trailers, Inc. 7/28/94 500 RFMI R F Monolithics, Inc. 7/28/94 200 CIMA OMA LABS INC. 7/29/94 1000 CSCC Cascade
Equity ATS Firms
As of May 12, 2025ATS NameATS IDFirm NameCommentABE ATSABEX303 ALTERNATIVES LLC AlphaX US   ALPXTSX Alpha U.S., Inc. AMERICAN LEDGER ATSCSTNAMERICAN LEDGER ATSCeased on July 31, 2021APOGEEAPOGCITADEL SECURITIES LLCCeased on April 2, 2015AQUAAQUAAQUA SECURITIES L.P.Ceased on September 16, 2022AX TRADING, LLCAXTNAX TRADING, LLCCeased on April 30, 2021BARCLAYS
Interpretive Letter to Joe Morkos-Doueihi, J.P. Morgan Securities, Inc.
<p>Permissible activities of a foreign associate.</p>