Notice To Members 90-19
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market System (NASDAQ/NMS) securities was established as follows:
SUGGESTED ROUTING* |
Legal & Compliance |
*These are suggested departments only. Others may be appropriate for your firm.
SUGGESTED ROUTING* |
Internal Audit |
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Good Friday, April 13, 1990.
SUGGESTED ROUTING* |
Internal Audit |
*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:
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
SUGGESTED ROUTING* |
Senior Management |
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY