Unless otherwise indicated, suspensions will begin with the opening of business on Monday, June 17, 1996. The information relating to matters contained in this section is current as of June 5, 1996. Information received subsequent to June 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Litwin Securities, Inc. (Miami Beach, Florida) and Harold A. Litwin (Registered
Suggested Routing
Senior Management
Legal & Compliance
Registration
Executive Summary
Effective December 1, 1996, the Central Registration Depository (CRD) will send an individual Continuing Education Program Advisory Message for both Regulatory Element Directed Sequences (see Exhibit 1) and Regulatory Element Directed Sessions (see Exhibit 2) to notify member firms of
Certain activities of unregistered persons would not be permissible under <i>Notice to Members 88-50</i>.<br/>
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
FINRA Vice Chair Luparello Remarks From the FSI Advocacy Summit
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
Last modified: March 17, 2021
The access and use of any information submission functions, content, materials, or services available on the Financial Industry Networking Directory (FIND)TM (“FIND” or the “FIND Service”) is conditioned upon the acceptance by you (“You” or “Your”), without modification, of these terms of use, and the terms and conditions displayed at https://www.finra.org/terms-of-
Sec. 3. (a) Notice of each meeting shall be written or printed; shall state the date, time, and place of the meeting; shall state the purpose or purposes for which the meeting is called; and unless it is the annual meeting, indicate that the notice is being issued at the direction of the person or persons calling the meeting. The Secretary of the Corporation shall deliver the notice to
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of August 25, 1992, the following 36 issues joined the Nasdaq National Market, bringing the total number of issues to 2,927:
Symbol
Company
Entry Date
SOES Execution Level
HEAT
Petroleum Heat and Power Co., Inc. (Cl A)
7/29/92
1000
SFTIF
