TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 2, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
Symbol*
Company
Location
AIMG
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 1, 1987, the following 2 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,068:
Symbol*
Company
Location
HIWDF
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. As a result, cloud computing is increasingly seen by many firms as an important architectural component to their infrastructure.
Worldwide, cloud computing has enjoyed rapid
FINRA and ISG Update Certain Electronic Blue Sheet Data Elements
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 1, 1986, 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,280. These 11 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
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that on January 13, 1989, the Securities and Exchange Commission (SEC) approved an
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
The Association's Small Order Execution System (SOES) began operation on December 14, 1984, with 25 NASDAQ National Market System (NASDAQ/NMS) securities. That number was expanded to 50 stocks by year-end. Recently the Board of Directors of NASD Market Services, Inc. approved a schedule whereby all NASDAQ/NMS issues will be phased
TO: All NASD Members and Level 2 and Level 3 Subscribers
Another 34 issues are scheduled to join the NASDAQ National Market System on Tuesday, October 18, making the total issues in NASDAQ/NMS 1,105. These 34 securities, which will begin trading under real-time trade reporting, meet the Securities and Exchange Commission's criteria for voluntary designation.
The 34 issues scheduled to join
In response to numerous customer complaints and industry frustration about delays in the transfer of securities accounts from one brokerage firm to another, NASD established the Customer Account Transfer Task Force (Task Force) to consider ways to improve the process of inter-firm customer account transfers. This Report presents the results of the Task Force's deliberations.
