SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of October 25, 1993, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,325:
Symbol
Company
Entry Date
SOES Execution Level
TBAY
Gotham Apparel Corp.
9/27/93
1000
BPIX
Broadcasting Partners, Inc. (Cl A)
9/28/93
1000
COSB
CSB Financial
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
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
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 24, 1991, the following 54 issues joined Nasdaq/NMS, bringing the total number of issues to 2,568:
Symbol
Company
Entry Date
SOES Execution Level
GNLB
Genelabs Technologies, Inc.
6/13/91
1000
GLYC
Glycomed Incorporated
6/13/91
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission declared effective, on July 1, 1987, amendments to Section 43 of the NASD Code of Arbitration Procedure (Code) and the Board of Governors' Resolution titled "Failure to Act under Provisions of the Code of Arbitration Procedure" (Resolution).
Section 43 of the
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of September 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SINC.GB
Sinclair Broadcast
10.000
9/30/05
OWI.GA
Owens-Ill
10.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments a proposed amendment to the Interpretation of the Board of Governors, Free-Riding and Withholding (Free-Riding Interpretation) 1/ that would provide members an alternative means of complying with the Interpretation for
Lisa Horrigan is Senior Vice President and Chief of Staff for FINRA Market Regulation and Transparency Services (MRTS). Ms. Horrigan oversees a broad range of operational, regulatory and business planning activities for MRTS. She also advises and provides strategic support and direction to the Executive Vice President and senior leadership team to further enhance the department’s regulatory
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join NASDAQ's National Market System on August 23 and another 50 will join September 20. This will bring the total number of NMS securities to 522. (An additional 43 securities are mandated to join NMS on August 9.) These 100 securities meet the SEC's criteria for voluntary
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
