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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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Senior Management
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Executive Summary
On September 28, 1995, the Securities and Exchange Commission (SEC) approved proposed changes to NASD® rules governing index, currency, and currency index warrants. The amended rules:
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Senior Management
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Executive Summary
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Senior Management
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Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995.
Overall Conclusions
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Senior Management
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Executive Summary
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Senior Management
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Executive Summary
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Senior Management
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Executive Summary
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Senior Management
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Executive Summary
Dues Must Be Paid By December 15, 1995
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Senior Management
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Executive Summary
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Internal Audit
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The Nasdaq Stock Market™ and the securities exchanges will be closed on Thursday, November 23, in observance of Thanksgiving Day. "Regular way" transactions made on the business days rioted below will be subject to the following schedule:
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Senior Management
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Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).