<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
(a) A FINRA member operating in or participating in any FINRA system or facility shall provide information orally, in writing, or electronically (if such information is, or is required to be, maintained in electronic form) to the staff of FINRA when FINRA staff makes an oral, written or electronically communicated request for information relating to a specific FINRA rule, SEC rule, or
April 12, 2002NASDR delayed the implementation of the new "Bunched Order Indicator," which was originally scheduled for inclusion in the April 8, 2002 Order Audit Trail System (OATS) Release. Members will be notified of a later rollout date. The field will remain in the code and is labeled as "Reserved for Future Use" in the OATS Reporting Technical Specifications. When
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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
Dear FINRA Regulators, To whom it may concern. I would prefer that you stay out of my business. The less government we have the better, is my absolute opinion. What ever I want to invest in is my concern and my concern only, not yours . I oppose any further government involvement what so ever. Leveraged and inverse funds such as (SQQQ & FAZ) are an especially important part of my strategy
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Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of August 29, 1994, the following bonds were added to the Fixed Income Pricing System (FTPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
HNTC.GA
Huntsman Corp.
10.625
3/31/01
SCTI.GA
SCI Tele Inc.
11.000
6/30/
Sec. 4.7 The term of office of a Director shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Directors, that: (a) the Director no longer satisfies the classification for which the Director was elected; and (b) the Director's continued service as such would violate the compositional requirements of the Board set forth in Section 4.3.
Sec. 4.7 The term of office of a Director shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Directors, that: (a) the Director no longer satisfies the classification for which the Director was elected; and (b) the Director's continued service as such would violate the compositional requirements of the Board set forth in Section 4.3
(a) Except as provided in paragraph (b), no member shall, directly or indirectly, give, permit to be given, or offer to give, anything of value to any person for the purpose of influencing or rewarding the action of such person in connection with the publication or circulation in any electronic or other public media, including any investment service or similar publication, Web site, newspaper
