SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of February 22, 1993, the following 44 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,998:
Symbol
Company
Entry Date
SOES Execution Level
PHSV
Physicians Health Svcs, Inc. (Cl A)
1/22/93
1000
CEGE
Cell Genesys, Inc.
1/26/93
500
BSRF
BioSurface Technology, Inc.
1/27/93
SUGGESTED ROUTING
Legal & ComplianceRegistration
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Schedule A of the NASD® By-Laws that permits the NASD to assess a $50 fee for the registration of each branch office and an annual $50 fee based on the number of registered branch offices or the number of registered persons associated
On This Page
Getting Started
What You Need
Additional Considerations
Fairness and Impartiality
Confidentiality and Security
Technology Challenges
Preparing for a Virtual Pre-Hearing Conference
Commencing a Virtual Pre-Hearing Conference
Recording a Virtual Pre-Hearing Conference
During a Virtual Pre-Hearing Conference
Participant Etiquette
Technical
If you are thinking about rolling over money from your Thrift Savings Plan (TSP) into an IRA, take some time to consider your options—one of which is to stay put in the TSP, or even transfer money from another retirement account into your TSP.
Remarks From the Consumer Federation of America Consumer Assembly
Summary
Several member firms recently notified FINRA that they have experienced email account takeovers (ATOs) while using cloud-based email platforms, including Microsoft Office 365 (O365). Attackers used compromised email accounts to defraud member firms by requesting fraudulent wire requests or stealing confidential firm information or non-public personally identifiable information (PII).
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of September 25, 1992, the following 35 issues joined the Nasdaq National Market, bringing the total number of issues to 2,934:
Symbol
Company
Entry Date
SOES Execution Level
SNSC
Swing-N-Slide Corp.
8/28/92
1000
ABMD
ABIOMED, Inc.
8/
Registration Requirements for Various Teleservicing Activities
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading
Registered Representatives
Senior Management
Trading Activity Fee
NASDAQ Exchange Registration
Executive Summary
On July 5, 2006, The NASDAQ Stock Market, Inc. ("NASDAQ")
announced that it would begin to operate as a national securities
exchange on August 1, 2006 for NASDAQ-
