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
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
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 21, 1988, the following 14 issues are scheduled to join the NASDAQ National Market System (NASDAQ/NMS), bringing the total number of issues in NASDAQ/NMS to 2,954:
Symbol*
Company
Location
SOES
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 16, 1987, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,940. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Summary
FINRA has released an updated Security Futures Risk Disclosure Statement (2020 Statement) to replace the one that was last updated in 2018, and a supplement (2020 Supplement) that reflects the disclosure updates described herein.1 The 2020 Statement incorporates all cumulative changes made to date, which include, among others, conforming changes for updates to the market-wide circuit
Summary
FINRA has amended its suitability rule, Capital Acquisition Broker (CAB) suitability rule and rules governing non-cash compensation to provide clarity on which standard applies and to address potential inconsistencies with the Securities and Exchange Commission’s (SEC’s) Regulation Best Interest (Reg BI).1 These changes have been approved by the SEC and become effective on June 30, 2020
For the period of 4/1/2025 through 4/30/2025AALIRA HEALTH TRAALIRA HEALTH TRANSACTION SERVICES, LLCNAME CHANGED TO: KADENWOOD CAPITAL, LLCALIRA HEALTH TRAKADENWOOD CAPITAL, LLCNEW NAME OF: ALIRA HEALTH TRANSACTION SERVICES, LLCAMERICAN ENTERPRAMERICAN ENTERPRISE INVESTMENT SERVICES INC.AMERIPRISE FINANCIAL SERVICES, LLCAMERIPRISE FINANCIAL SERVICES, INC.AMERICAN EXPRESS FINANCIAL ADVISORS INC.IDS
March 15, 2006
New Market Center Code Effective June 1, 2006
Reporting Requirements for Orders Transmitted Between NASD-only and NASDAQ-only members
On January 13, 2006, the Securities and Exchange Commission (SEC) approved NASDAQ's application to register as a national securities exchange.1 NASDAQ is currently working with the SEC to determine the operational date
