SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 15, 1987, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,046:
Symbol*
Company
Location
ATKM
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
The difference between the yields of two different bonds, called a bond spread, can help you understand the potential risks and rewards for investing in a particular bond. Corporate bonds are often measured against relatively risk-free Treasury bonds. Bond spreads can also help you evaluate the overall health of the economy.
Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Proposed Rule Change Relating to Alternative Display Facility New Entrant
Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
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