SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 15, 1990, the following 20 issues joined NASDAQ/NMS, bringing the total number of issues to 2,667:
Symbol
Company
Entry date
SOES Execution Level
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 5, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,052:
Symbol*
Company
Location
CPBI
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 1, 1986, 18 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,420. These 18 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Attached are copies of notices issued by the Comptroller of the Currency that relate to certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses registered in Majuro, Marshall Islands. Because
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SUGGESTED ROUTING
Senior ManagementInternal AuditOperationsTrading
On June 30, 1988, the maximum Small Order Execution System (SOESSM) order size for all Nasdaq National Market® securities was established as follows:
A 1,000-share maximum ordersize was applied to those Nasdaq National Market securities that had an average daily nonblock volume of 3,000 shares or more a day, a bid
SUGGESTED ROUTING
Senior ManagementCorporate DebtInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
Executive Summary
On March 18, 1993, the Securities and Exchange Commission (SEC) approved NASD rules regarding quotation- and transaction-reporting requirements for members trading high-yield, fixed-income securities. The following Notice answers some commonly
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
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Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
