Displaying 8531 - 8540 of 9419 Results
Notice To Members 94-51
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653: Symbol Company Entry Date SOESSM Execution Level BUCK Buckhead America Corporation 4/28/94 200 MLXR MLX Corp. 4/28/94 200 ABCO American Buildings Company 4/29/94 500 BRKB
Notice To Members 94-99
SUGGESTED ROUTING Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 16, 1995. On January 16, 1995, The Nasdaq Stock Market™ and the
Notice To Members 93-90
SUGGESTED ROUTING Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 17, 1994. On January 17, The Nasdaq Stock MarketSM and the
Notice To Members 90-36
SUGGESTED ROUTING* Senior Management Legal & Compliance *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on amendments to the NASD By-Laws implementing the recommendations of the Special Committee
Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees
FINRA's John Brennan dispels the "rigged markets" myth, touts tech's benefits for investors and advocates transparency and simple fixes for market challenges.
Notice To Members 93-60
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186: Symbol Company Entry Date SOES Execution Level CFBKP Citizens Federal Bank, A Federal Savings Bank 6/23/93 200 PITC Pittencrieff Communications, Inc. 6/23/93 1000 RCAP Re Capital
Notice to Members 02-46
INFORMATIONAL NAC Nominations Nomination Deadline: September 5, 2002 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National Adjudicatory Council (NAC). The
Notice to Members 97-17
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary Effective April 1, 1997, tier sizes for 692 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g). For more information, please contact Nasdaq® Market
Notice To Members 91-6
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday
Notice To Members 90-4
SUGGESTED ROUTING* Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading *These are suggested departments only. Others may be appropriate for your firm. Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The