Sec. 11. (a) The Corporation, the Board, a committee appointed pursuant to Article IX, Section 1, and the Corporation's staff shall not take any position publicly or with a member or person associated with or employed by a member with respect to any candidate in a contested election or nomination held pursuant to these By-Laws or the NASD Regulation By-Laws. A Governor or a member
Application of registration and supervisory requirements to certain activities conducted by a member firm in the U.S. relating to sales outside the U.S. of foreign mutual funds.
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
Notwithstanding anything herein to the contrary, to the extent there is any inconsistency between the other provisions of these By-Laws, including, without limitation, Sections 1, 4, 5 and 9 of Article VII hereof, and this Article XXII, the provisions of this Article XXII shall govern as of Closing and for the Transitional Period to the fullest extent permitted by applicable law:
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of March 13, 1991, the following 13 issues joined Nasdaq/NMS, bringing the total number of issues to 2,545:
Symbol
Company
Entry Date
SOES Execution Level
CTRX
Celtrix Laboratories, Inc.
2/11/91
1000
DISK
Image Entertainment, Inc.
2/19
FINRA and ISG Modify Certain Electronic Blue Sheet Data Elements
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of July 13, 1990, the following 19 issues joined NASDAQ/NMS, bringing the total number of issues to 2,645:
Symbol
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 12, 1990 the following 18 issues joined NASDAQ/NMS bringing the total number of issues to 2,670:
Symbol
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of February 9, 1990, the following 13 issues joined NASDAQ/NMS, bringing the total number of issues to 2,685:
Symbol
Company
Entry Date
SOES Execution Level
