Multi Factor Authentication (MFA) enhances the security of accounts by adding an additional layer of security beyond the Username and password. MFA is one of the most effective security controls currently available to protect against remote security hacks. Passwords are increasingly easy to compromise and are often stolen, guessed or hacked. MFA helps the account stay secure even if the password
Summary
FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions.
The proposed rule text marked to show changes from the current rule text is
I would like to comment on two particular components of 21-19. -"It is possible that the public dissemination of more granular data could discourage short-selling activity, which is an important mechanism for both efficient pricing and for liquidity provision. We also request comment on potential negative outcomes of making this information publicly available on an aggregated basis." -
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 29, 1994, the following 49 issues joined the Nasdaq National Market, bringing the total number of issues to 3,725:
Symbol
Company
Entry Date
SOES Execution Level
BDTC
Bio-Dental Technologies
8/30/94
200
FCNB
Corporation FCNB Corp.
8/30/94
200
CCIL
Cellular Communications International,
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of August 24, 1993, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,238:
Symbol
Company
Entry Date
SOES Execution Level
OMEG
Omega Environmental, Inc.
7/26/93
1000
MPFC
Mountain Parks Financial Corp.
7/27/93
500
XLTCW
Excel Technology, Inc. (2/8/98 Wts
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of May 24, 1993, the following 58 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,108:
Symbol
Company
Entry Date
SOES Execution Level
SFSW
State Financial Services Corporation
4/26/93
500
ACTNW
Action Performance Companies, Inc. (4/27/98 Wts)
4/27/93
500
ACTN
Action
Gerri Walsh is Senior Vice President of Investor Education at the Financial Industry Regulatory Authority (FINRA). In this capacity, she is responsible for the development and operations of FINRA’s investor education program. She is also President of the FINRA Investor Education Foundation, where she manages the Foundation’s strategic initiatives to educate and protect investors and to benchmark
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Executive Summary
As of December 21, 1992, the following 47 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,977:
Symbol
Company
Date
SOES Execution Level
AMEP
American Educational Products Inc.
11/23/92
1000
CRTQZ
Cortech Inc.
11/24/92
1000
FORBP
Fortune Bancorp, Inc. Ser
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947:
Symbol
Company
Entry Date
SOES Execution Level
FMDD
F & M Distributors, Inc.
9/25/92
500
USML
