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FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP. In this episode, we learn more about MAP and some of the recent and ongoing enhancements to the program.
Oppose the proposed regulations
I oppose restrictions on my right to invest in public investments.
I OPPOSE RESTRICTIONS TO MY RIGHT TO INVEST
Public GovernorChief Executive Officer, Stone Ridge Capital Partners, LPGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of August 24, 1993, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,238:
Symbol
Company
Entry Date
SOES Execution Level
OMEG
Omega Environmental, Inc.
7/26/93
1000
MPFC
Mountain Parks Financial Corp.
7/27/93
500
XLTCW
Excel Technology, Inc. (2/8/98 Wts)
7/28/93
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 46 securities will join the 926 trading in the NASDAQ National Market System on Tuesday, June 19, 1984. These 46 securities have met the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 46 securities scheduled to join NMS on
SUGGESTED ROUTING:*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 12, 1991, the following 19 issues joined Nasdaq/NMS, bringing the total number of issues to 2,535:
Symbol
Panelists discuss how COVID-19 challenges are impacting their cases, offer tips and resources for conducting effective Zoom virtual arbitration hearings, and share the latest in arbitration procedures.
Panelists explore the evolving regulatory structure surrounding senior investor protections and the challenges facing financial services professionals when developing an effective, efficient and integrated protection framework.