Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
SR-FINRA-2008-056 - Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
INFORMATIONAL
Membership And Registration Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
Financial and
Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 20, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,077:
Symbol*
Company
Location
CNTX
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 18, 1987, the following 8 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,018.
Symbol*
Company
Location
APAS
NASD has filed with the SEC a proposed rule change to extend the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure ("Code") relating to the California waiver program until March 31, 2005. NASD is not proposing any textual changes to the By-Laws or Rules of NASD.
Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested
