Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot
Surveillance and ExaminationsFINRA regularly examines funding portal members to determine compliance with FINRA's funding portal rules and SEC requirements. FINRA conducts examinations of each funding portal within the first 12 months of membership and no less frequently than once every four years thereafter. In addition, FINRA conducts ongoing surveillance of funding portals'
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved an amendment to Paragraph (b), Part VI,
As of March 22, 1996, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,051:
Symbol
Company
Entry Date
SOES Execution Level
CMCO
Columbus McKinnon Corp.
2/23/96
200
CYAN
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 17, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,775. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT
TO: All NASD Members and Other Interested Persons
In Notice to Members 84-69, dated December 18, 1984, the NASD apprised the membership that the Comptroller of the Currency had issued notices concerning certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses
Notice of FINRA District Committee Election and Ballots
FINRA 21-19 is needed to restore the Retail Investor's trust in the market. An equivalence of information is needed to ensure all parties in the market are on equal footing. Transparency of data, in particular, the limited short interest reporting policy, needs to be improved. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and
