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Firm Guidance – Private Placement Filings
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
Notice To Members 95-78
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Operations Systems Trading As of August 21, 1995, the following 59 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,863: Symbol Company Entry Date SOES Execution Level CBXC Cybex Computer Products Corporation 7/28/95 500 FLCN Falcon Drilling
Notice To Members 95-63
SUGGESTED ROUTING Senior Management Legal & Compliance Trading Training Executive Summary On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for
Notice To Members 95-52
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Operations Systems Trading As of May 25, 1995, the following 47 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,781: Symbol Company Entry Date SOES Execution Level REPS Republic Engineered Steels, Inc. 4/28/95 500 PLSIA Premier Laser
Notice To Members 95-40
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Operations Systems Trading As of April 27, 1995, the following 53 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,761: Symbol Company Entry Date SOES Execution Level SMTC Semtech Corp. 3/28/95 500 DSTM Datastream Systems, Inc. 3/29/95 500
Remarks from FINRA Fixed Income Conference
Remarks From FINRA Fixed Income Conference
Notice To Members 94-77
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of August 29, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,707: Symbol Company Entry Date SOES Execution Level DSYT Dorsey Trailers, Inc. 7/28/94 500 RFMI R F Monolithics, Inc. 7/28/94 200 CIMA OMA LABS INC. 7/29/94 1000 CSCC Cascade
Notice To Members 93-48
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of June 22, 1993, the following 54 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,145: Symbol Company Entry Date SOES Execution Level FFEX Frozen Food Express Inds., Inc. 5/25/93 1000 STCI Station Casinos, Inc. 5/25/93 500 ZHOM Zaring Homes, Inc. 5/25/93 1000 HFSC
Notice To Members 93-34
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065: SUGGESTED ROUTING Internal AuditOperationsSystemsTrading Symbol Company Entry Date SOES Execution Level JARS Alltrista Corporation 3/24/93 1000 CHCS Chico's FAS, Inc. 3/24/93 1000 FFBG First Federal Savings Bank of Brunswick Georgia
Notice To Members 90-79
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Syndicate *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on a proposed amendment to Appendix F under