SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
S. GOLDMAN ADVISORS, LLC599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022S.G. LONG & COMPANY283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328S.L. REED & COMPANY11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346S2K FINANCIAL LLC5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822SABADELL
Summary
FINRA is issuing this Notice to restate and supplement prior guidance regarding the circumstances under which a firm or individual may influence the outcome of an investigation by demonstrating extraordinary cooperation. This Notice incorporates FINRA’s prior guidance and provides clarification and additional information about how FINRA assesses whether a potential respondent’s
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 28, 1992, the following 48 issues joined the Nasdaq National Market, bringing the total number of issues to 2,916:
Symbol
Company
Entry Date
SOES Execution Level
CTEC
Cholestech Corporation
6/26/92
1000
SBUX
Starbucks
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to the Rules of Fair Practice to require members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the
Last Voting Date: August 29, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws to prepare for a planned new numbering scheme for the NASD Manual; to correct certain minor errors found in the By-Laws; and to provide for Board approval of future spelling and numbering changes. The
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 10, 1990, the NASD implemented a new feature for the Small Order Execution System (SOES) Limit-Order File — a matching service. Matching allows an opportunity for customer limit orders, priced
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 1, and Article VI of the Rules
