Notice To Members 92-61
SUGGESTED ROUTING:* |
Legal & Compliance |
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:* |
Legal & Compliance |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
SUGGESTED ROUTING:* |
Internal Audit |
SUGGESTED ROUTING:* |
Internal Audit |
As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947:
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Senior Management |
EXECUTIVE SUMMARY
SUGGESTED ROUTING:* |
Internal Audit |
The NASD will observe the following holiday schedule for 1993:
January 1 |
SUGGESTED ROUTING:* |
Internal Audit |
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule