SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1998, the maximum Small Order Execution SystemSM (SOESSM) order sizes for 488 Nasdaq National Market® (NNM) securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more information, please contact
Comment Period Expires: July 16, 1997
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Training
Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on specific
Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
Neutral Corner - February 2007
Negative response letters may be used for a bulk transfer of customer accounts to a broker-dealer that will provide certain trading services that have been discontinued by member, provided the letters contain the disclosures described in Notice to Members 02-57.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of January 27, 1994, the following 43 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,499:
Symbol
Company
Entry Date
SOESSM Execution Level
ALMIW
Alpha Microsystems (Wts Exp 9/1/98)
1/3/94
500
HALL
Hallmark Capital Corp.
1/3/94
200
SECP
Security Capital
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 24, 1993, the following 41 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,264:
Symbol
Company
Entry Date
SOES Execution Level
ACOM
A+ Communications, Inc.
8/25/93
1000
GBIZ
Grow Biz International, Inc.
8/25/93
1000
GWALY
Great Wall Electronic
INFORMATIONAL
Ombudsman
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Corporate Finance
Legal & Compliance
Registration
Senior Management
Trading & Market Making
Ombudsman
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own
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.
