SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of August 19, 1988, the following 29 issues joined the NASDAQ National Market
August 28, 2002
NASD plans to implement its next regular quarterly release for the third quarter of 2002 (2002.3) into the testing environment on September 30, 2002 and into the production environment on October 14, 2002. This release contains a variety of changes, some requiring coding by members and some that enhance functionality.
The 2002.3 release includes the following enhancements that
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 16, 1987, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,940. These 23 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
<p>NASD IM-2420-2 - Continuing Commissions Policy</p>
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
Update to Security Futures Risk Disclosure Statement and Supplement
The Contra Executing Firm 20 Minute Compliance report card is a monthly status report that provides information on transactions in which a firm failed, as the Contra Firm to accept / decline / compare trades within 20 minutes after execution, in apparent violation of FINRA Rules 7230A(b) and/or 7330(b). It provides information about the number of trades that were accepted / declined / compared
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, September 16, 1996. The information relating to matters contained in this section is current as of September 5, 1996. Information received subsequent to September 5, 1996, is not reflected in this section.
Firm Expelled, Individual Sanctioned
Banc Street Securities, Inc. (Milwaukee, Wisconsin) and Gerald
Comment Period Expires: September 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
Under the current interpretation governing the Public Disclosure Program, information on all felony offenses is disclosed indefinitely. NASD Regulation, Inc. (NASD Regulation) requests comment from members and
New Courses – April 2025AML Compliance: Account MonitoringRegulatory Concerns for New ProductsAnalyzing Investor GrowthAnnual 2025 AML Review2025 Annual Industry Priorities ReviewInvestor Trends: Exploring the Changing Investor Landscape2025 Supervisory Trends2025 Annual Compliance ReviewOn This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning
