SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1998, the maximum Small Order Execution SystemSM (SOESSM) order sizes for 488 Nasdaq National Market® (NNM) securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more information, please contact
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of January 27, 1994, the following 43 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,499:
Symbol
Company
Entry Date
SOESSM Execution Level
ALMIW
Alpha Microsystems (Wts Exp 9/1/98)
1/3/94
500
HALL
Hallmark Capital Corp.
1/3/94
200
SECP
Security Capital
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 24, 1993, the following 41 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,264:
Symbol
Company
Entry Date
SOES Execution Level
ACOM
A+ Communications, Inc.
8/25/93
1000
GBIZ
Grow Biz International, Inc.
8/25/93
1000
GWALY
Great Wall Electronic
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceSyndicate
Executive Summary
The NASD and five other securities industry self-regulatory organizations (SROs) have agreed to develop a single continuing education program for all securities industry registered representatives and principals. Furthermore, the NASD has agreed to remain flexible over the question of whether an
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of February 22, 1993, the following 44 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,998:
Symbol
Company
Entry Date
SOES Execution Level
PHSV
Physicians Health Svcs, Inc. (Cl A)
1/22/93
1000
CEGE
Cell Genesys, Inc.
1/26/93
500
BSRF
BioSurface Technology, Inc.
1/27/93
SUGGESTED ROUTING
Legal & ComplianceRegistration
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Schedule A of the NASD® By-Laws that permits the NASD to assess a $50 fee for the registration of each branch office and an annual $50 fee based on the number of registered branch offices or the number of registered persons associated
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of September 25, 1992, the following 35 issues joined the Nasdaq National Market, bringing the total number of issues to 2,934:
Symbol
Company
Entry Date
SOES Execution Level
SNSC
Swing-N-Slide Corp.
8/28/92
1000
ABMD
ABIOMED, Inc.
8/
Summary
A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication. The
The number and territorial boundaries of the several districts and their respective regions, established as provided in Article VIII, Section 8.1, are as follows:
Districts
District No. 1 State of Hawaii; in the State of California, the Counties of Monterey, San Benito, Fresno and Inyo, and the remainder of the State North or West of such Counties; and in the State of Nevada, the Counties of
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 19, 1991, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,673:
Symbol
Company
Entry Date
SOES Execution Level
HDVS
H.D. Vest, Inc.
11/25/91
1000
HDVSW
H.D. Vest, Inc. (CIA
