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Notice To Members 94-65
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679: Symbol Company Entry Date SOES Execution Level DSGT Designatronics Incorporated 6/29/94 200 WCBO West Coast Bancorp 6/29/94 200 BELW Bellwether Exploration Company 6/30/94 200 HMNF HMN Financial Resources 6/30/94 500 MSNS MediSense, Inc. 6/30
Notice To Members 92-40
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of June 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,900: Symbol Company Date SOES Execution Level TDSRF 3-D Systems, Inc. (Rts) 5/27/92 1000 MSYSW Medical Technology
Notice To Members 92-29
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of April 21, 1992, the following 65 issues joined the Nasdaq National Market bringing the total number of issues to 2,819: Symbol Company Entry Date SOES Execution Level CBSA Coastal Bane Savings Association 3/25/92 1000 COLL Collins
Notice To Members 92-13
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690: Symbol Company Entry Date SOES Execution Level PRFM Perfumania, Inc. 12/19/91 500 MSMR Missimer &
Notice To Members 91-73
SUGGESTED ROUTING:* Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Registration (Form U-5). The changes to Form U-4 include
Notice To Members 91-59
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of August 23, 1991, the following 53 issues joined Nasdaq/NMS, bringing the total number of issues to 2,605: Symbol Company Entry Date SOES Execution Level VRTX Vertex Pharmaceuticals Incorporated 7/24/91 1000 CATH Catherines Stores
Appointment
Sec. 1.  (a) The Corporation shall have the following committees of the Board: the NASD Group Committee (during the Transitional Period); the NYSE Group Committee (during the Transitional Period); the Small Firm Governor Committee; and the Large Firm Governor Committee, which in each case shall be comprised of the Governors specified herein and in the Restated Certificate of
Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange
Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange
Notice To Members 90-48
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of June 14, 1990, the following 30 issues joined NASDAQ/NMS, bringing the total number of issues to 2,647: Symbol
Notice To Members 89-81
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of November 13, 1989, the following 19 issues joined the NASDAQ National Market, bringing the total number of issues to 2,712