TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join NASDAQ's National Market System on July 19, bringing the total number of NMS securities to 378. These 50 securities meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 50
Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
SR-FINRA-2008-004 - Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
Year 2000 Program Addresses Challenges Faced By Automated Systems
Members Be Advised: The year 2000 will be upon us in less than two and a half years, and, to be ready, all National Association of Securities Dealers, Inc. (NASD®) member firms must take action now to ensure that their automated systems will continue to operate successfully. The NASD has instituted a Year 2000 (Y2K) Program to
Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
GUIDANCENon-Payment of Arbitration AwardsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal and ComplianceSenior ManagementNASD By-LawsNon-Payment of Arbitration AwardsExecutive SummaryThe Securities and Exchange Commission (SEC) has approved two amendments to the NASD By-Laws that further strengthen NASD's ability to prevent formerly associated persons from re-entering the securities
Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
