INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
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
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed
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/
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
October 5, 2000The purpose of this article is to alert NASD members and service bureaus—the providers of the data—that it has come to the attention of the staff that some member firms are incorrectly reporting information to the NASD Order Audit Trail System.Limit Order Display IndicatorThe Limit Order Display Indicator (LODI) is to be used for limit orders and stop limit orders only, and should
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1998, tier sizes for 547 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more
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
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective January 1, 1998, tier sizes for 544 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
