TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 16, 1986, 26 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,709. These 26 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On March 8, 1994, the Securities and Exchange Commission (SEC) issued an order declaring immediate effectiveness of amendments to add a new Section 45 to Part III of the Code of Arbitration Procedure imposing a surcharge on any member named as a party to an arbitration proceeding. The text of the amendments,
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
Schedule D and Schedule H of the NASD By-Laws require members to respond to regulatory requests for trading data by using a standardized automated format. In Notice to Members 93-26 (April 1993), members were urged to take immediate action to ensure the timeliness, accuracy, and completeness of
REQUEST FOR COMMENT
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Legal & Compliance
Senior Management
Central Registration Depository
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On August 12, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Part III, Section 41(f) of the Code of Arbitration Procedure (Code) making all NASD arbitration awards publicly available. The amendment is effective October 1, 1993. The text of the amendment follows this Notice.
Cover Letter from FINRA Chairman and CEO, Rick Ketchum
January 11, 2013
Today, FINRA published its eighth annual
2013 Regulatory and Examination Priorities Letter
to highlight the key issues that are significant to our regulatory programs. This letter is an important part of our work to support your efforts to regularly update your compliance capability. It is my
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceRegistrationSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Parts II and III of Schedule C to the NASD's By-Laws permitting Direct Participation Program (DPP) Limited Principals and
SEC Approves Amendments to Establish Two Optional TRACE Data Delivery Services and Related Fees
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of October 11, 1990, the following 10 issues joined NASDAQ/NMS, bringing the total number of issues to 2,613
Symbol
