Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible firms be represented
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of May 24, 1993, the following 58 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,108:
Symbol
Company
Entry Date
SOES Execution Level
SFSW
State Financial Services Corporation
4/26/93
500
ACTNW
Action Performance Companies, Inc. (4/27/98 Wts)
4/27/93
500
ACTN
Action
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032:
Symbol
Company
Entry Date
SOES Execution Level
CMPO
Campo Electronics Appliances & Computers Inc.
2/24/93
1000
FSOU
First Southern Bancorp, Inc.
2/24/93
500
PENVF
Philip
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Executive Summary
As of December 21, 1992, the following 47 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,977:
Symbol
Company
Date
SOES Execution Level
AMEP
American Educational Products Inc.
11/23/92
1000
CRTQZ
Cortech Inc.
11/24/92
1000
FORBP
Fortune Bancorp, Inc. Ser
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947:
Symbol
Company
Entry Date
SOES Execution Level
FMDD
F & M Distributors, Inc.
9/25/92
500
USML
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725:
Symbol
Company
Entry Date
SOES Execution Level
AUGI
American United Global, Inc.
1/28/92
1000
CALL
Fleet Call
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1990, the following 18 issues joined NASDAQ/NMS, bringing the total number of issues to 2,694:
Symbol
GUIDANCEUnit Investment Trust SalesSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsSenior ManagementBreakpointsUnit Investment Trust SalesExecutive SummaryUnit Investment Trusts (UITs) that charge initial sales charges sometimes offer discounts in the sales charge based on the dollar amount or number of units of the investment. The thresholds at which the discounts are offered in the
