For each arbitrator classification (public, non-public, and chairperson), the Director will prepare combined ranked lists of arbitrators based on the parties' numerical rankings, as follows:
• The Director will add the rankings of all claimants together, and the rankings of all respondents together, to produce separate combined ranked lists for the claimants and the
GUIDANCE
Large Options Positions Reports
SUGGESTED ROUTING
KEY TOPICS
Senior ManagementLegal & ComplianceOperationsOptionsSystemsTrading
Options
Executive Summary
As a result of enhancements to the Securities Industry Automation
Corporation's (SIAC) Large Options Positions Reporting system, NASD
is eliminating the manual reporting of Large Options
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of September 25, 1991, the following 29 issues joined Nasdaq/NMS, bringing the total number of issues to 2,611:
Symbol
Company
Entry Date
SOES Execution Level
VANS
Vans, Inc.
8/23/91
1000
EZPW
EZCORP, Inc. (Cl A)
8/27/91
1000
MGICF
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has decided to move forward with plans to develop an industry-wide program of continuing education and assessment for the securities personnel registered with the NASD. The Board
GUIDANCE
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Technology
Training
NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the
(a) No member shall establish, increase, decrease or liquidate an inventory position in a security or a derivative of such security based on non-public advance knowledge of the content or timing of a research report in that security.
(b) A member must establish, maintain and enforce policies and procedures reasonably designed to restrict or limit the information flow between research
(a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel.
Unless prohibited by applicable law, sanctions may include, but are not limited to:
• Assessing monetary penalties payable to one or more parties;
• Precluding a party
(a) The panel will decide when the record is closed. Once the record is closed, no further submissions will be accepted from any party.
(b) In cases in which no hearing is held, the record is presumed to be closed when the Director sends the pleadings to the panel, unless the panel requests, or agrees to accept, additional submissions from any party. If so, the record is presumed to be
(a) The panel may sanction a party for failure to comply with any provision in the Code, or any order of the panel or single arbitrator authorized to act on behalf of the panel. Unless prohibited by applicable law, sanctions may include, but are not limited to:
• Assessing monetary penalties payable to one or more parties;
• Precluding a party from
