SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1989, the following 19 issues joined the NASDAQ National Market, bringing the total number of issues to 2,712
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 11, 1989, the following 28 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1989, the following 18 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 15, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,996:
Symbol*
Company
Location
ADDR
B&D CAPITAL PARTNERS, LLC211 EAST BLVD., CHARLOTTE, NC 28203-4719B. C. ZIEGLER AND COMPANYONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606B. RILEY SECURITIES, INC.11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025B. RILEY WEALTH MANAGEMENT40 SOUTH MAIN, SUITE 1600, MEMPHIS, TN 38103B.B. GRAHAM & COMPANY, INC.1700 W. KATELLA AVE., ORANGE, CA 92867BA SECURITIES, LLCFOUR
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
COMMENTS MUST BE RECEIVED BY NOVEMBER 8, 1984
The Association's Board of Governors has approved for membership comment a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice. Appendix F contains rules and regulations relating to public offerings of
Tina Salehi Gubb is the Senior Vice President of Enforcement Legal. In this role, Ms. Gubb is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory
Why are we still having to ask for basic accountability in the year 2022? The reason is because crime pays and the self reportive market is riddled with fraud as the past several months of Sec fines proves there is a glaring problem. https://www.sec.gov/news/pressreleases The DOJ mentioned using the RICO act for a reason and it is time to implement a computer tracking system to get with the times
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 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
