SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of January 12, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,881
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm
As of November 21, 1988, the following 25 issues joined the NASDAQ National Market System, bringing the total number of issues in
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 10, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article VII, Section l(a) of the NASD By-Laws that would authorize the NASD Board of Governors to require members conducting an interdealer OTC business to report trade data.
The text of the amendment is
The OATS Rules require member firms to report to FINRA order information for NASDAQ-listed equity securities. Beginning February 4, 2008, the OATS Rules apply to OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities
ORF Data Delivery Plus Fee
FINRA assesses the ORF Data Delivery Plus service fee per each MPID that the firm enrolls in the service. The firm's monthly fee is based on:
the average number of transactions the MPID was a party to* per month over the prior calendar year, which is used to categorize the MPID in one of 4 tiers, and
the number of "Plus" reports (reports for dates
Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization. fileX will eventually replace the different legacy file transfer methods in use today.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 4, 1987, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,018. These 30 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 7, 1987, 29 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,972. These 29 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
