Displaying 8401 - 8410 of 9457 Results
Notice To Members 93-66
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of August 24, 1993, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,238: Symbol Company Entry Date SOES Execution Level OMEG Omega Environmental, Inc. 7/26/93 1000 MPFC Mountain Parks Financial Corp. 7/27/93 500 XLTCW Excel Technology, Inc. (2/8/98 Wts
Notice To Members 93-39
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of May 24, 1993, the following 58 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,108: Symbol Company Entry Date SOES Execution Level SFSW State Financial Services Corporation 4/26/93 500 ACTNW Action Performance Companies, Inc. (4/27/98 Wts) 4/27/93 500 ACTN Action
Notice To Members 93-28
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032: Symbol Company Entry Date SOES Execution Level CMPO Campo Electronics Appliances & Computers Inc. 2/24/93 1000 FSOU First Southern Bancorp, Inc. 2/24/93 500 PENVF Philip
Notice To Members 93-7
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading Executive Summary As of December 21, 1992, the following 47 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,977: Symbol Company Date SOES Execution Level AMEP American Educational Products Inc. 11/23/92 1000 CRTQZ Cortech Inc. 11/24/92 1000 FORBP Fortune Bancorp, Inc. Ser
Notice To Members 92-64
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947: Symbol Company Entry Date SOES Execution Level FMDD F & M Distributors, Inc. 9/25/92 500 USML
Notice To Members 92-15
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725: Symbol Company Entry Date SOES Execution Level AUGI American United Global, Inc. 1/28/92 1000 CALL Fleet Call
Meetings of Regional Committees
Sec. 8.5  Meetings of a Regional Committee shall be held in its region, as identified in Schedule A to these By-Laws, at such times and places, upon such notice, and in accordance with such procedures as the Chief Executive Officer or his or her designee in his or her discretion may determine. A quorum of a Regional Committee shall consist of a majority of its members, and any action
Administrative Support
Sec. 6.6  The Secretary of the Corporation shall provide administrative support to all candidates by sending to FINRA members eligible to vote based on the firm size classifications (Small Firm, Mid-Size Firm, or Large Firm) defined in these By-Laws up to two mailings of materials prepared by the candidates. The Corporation shall pay the postage for the mailings. If a candidate wants
Oral Statement Before the Senate Committee on Governmental Affairs Hearing On Analyst Independence
Mr. Chairman, Senator Thompson, Members of the Committee, thank you for this opportunity to testify.
Notice To Members 90-8
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of January 11, 1990, the following 18 issues joined NASDAQ/NMS, bringing the total number of issues to 2,694: Symbol