Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 1022 (Categories of Principal Registration), NASD Rule 2220 (Options Communications with the Public) and NASD Rule
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
INFORMATIONAL
Series 55 Examination
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registration
Trading & Market Making
Training
Series 55 Examination, Equity Trader
Executive Summary
The requirement for Nasdaq® and/or over-the-
Proposed Rule Change Relating to the Series 9/10 Examination Program
Proposed Rule Change to Extend a TRACE Pilot Program
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a
National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities
and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt
new FINRA Rule 5122.
Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of August 21, 1995, the following 59 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,863:
Symbol
Company
Entry Date
SOES Execution Level
CBXC
Cybex Computer Products Corporation
7/28/95
500
FLCN
Falcon Drilling
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to allow for the digital recording of arbitration hearings.
