SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of October 12, 1989, the following nine issues joined the NASDAQ National Market, bringing the total number of issues to 2,718
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
For Your Information
National Association of Securities Dealers, Inc.
February 1989
Series 7 Test Date and Site Changes in February
February Series 7 Date Change
Because of the national holiday that falls on the third weekend, the February Series 7 exam session will be conducted February 11, 1989, at all locations except:
Atlanta, GA
Minneapolis, MN
Little Rock, AR
San Francisco, CA
The TRACE Quality of Markets Report Card for Securitized Products is a monthly status report for the reporting of transactions in Asset Backed Securities, Mortgage Backed Securities and other similar securities, collectively defined as "Securitized Products", to the Trade Reporting and Compliance Engine (TRACE). Firms are required to report trades in accordance with established FINRA
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 3, 1988, the following two issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,976:
Symbol*
Company
Location
AKRN
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 5, 1988, the following thirteen issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
Symbol*
Company
Location
CYTR
TO: All NASD Members and Other Interested Persons
ATTN: Syndicate Department
LAST DATE FOR COMMENT: JANUARY 30, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on two proposed amendments to Section 66 of the NASD Uniform Practice Code. The first amendment would require syndicate managers of public offerings to provide members of underwriting syndicates with itemized statements of the expenses
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 17, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,076:
Symbol*
Company
Location
BCKY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 1, 1987, the following 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,039:
Symbol*
Company
Location
APWRA
