Displaying 8491 - 8500 of 9419 Results
Notice to Members 97-61
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary Effective October 1, 1997, tier sizes for 537 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g). For more information, please contact Nasdaq® Market Operations at (203) 378-0284. Description Under Rule 4710, the maximum Small Order Execution
Testimony Before the Committee on Banking, Housing, and Urban Affairs
I am Dan Sibears and I currently serve as Executive Vice President, Member Regulation Programs for the Financial Industry Regulatory Authority, or FINRA®. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Notice To Members 94-57
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of June 28, 1994, the following 68 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,688: Symbol Company Entry Date SOES Execution Level ABRX ABR Information Services Inc. 5/26/94 200 FRES Fresh America Corp. 5/26/94 500 LZTN Lazer-Tron Corporation 5/26/94 200
Notice To Members 94-31
SUGGESTED ROUTING MunicipalOperationsSystemsTrading As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571: Symbol Company Entry Date SOESSM Execution Level CHGNF AES China Generating Co. Ltd. (Cl A) 2/24/94 500 EFCX Electric Fuel Corporation 2/24/94 500 GVIL Global Village Communications, Inc. 2/24/
Notice To Members 94-21
SUGGESTED ROUTING MunicipalOperationsSystemsTrading As of February 24, 1994, the following 62 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,537: Symbol Company Entry Date SOESSM Execution Level SLOT Anchor Gaming 1/28/94 500 NSTA Anesta Corp. 1/28/94 500 GNPT GP Financial Corp. 1/28/94 1000 INTM Interim Services Inc. 1/28/94
Notice To Members 93-80
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of October 25, 1993, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,325: Symbol Company Entry Date SOES Execution Level TBAY Gotham Apparel Corp. 9/27/93 1000 BPIX Broadcasting Partners, Inc. (Cl A) 9/28/93 1000 COSB CSB Financial
Notice to Members 98-106
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Training Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the
Interpretive Letter to Jack Hodges, William O'Neil + Co, Inc.
Application of the OATS Rules to: partial executions, bunched orders, pegged orders, and negotiated orders.<br/>
Notice to Members 99-11
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal &amp; Compliance Municipal Mutual Fund Operations Options Registered
Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
Member ceasing to offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to an affiliated broker-dealer.