Notice To Members 94-65
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679:
Symbol |
Company |
Entry Date |
SOES Execution Level |
|
DSGT |
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.
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679:
Symbol |
Company |
Entry Date |
SOES Execution Level |
|
DSGT |
SUGGESTED ROUTING |
Senior Management |
As of July 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Comment Period Expires October 3, 1994
SUGGESTED ROUTING |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Senior Management |
Executive Summary
Comment Period Expires October 14, 1994
SUGGESTED ROUTING |
Senior Management |
An Open Letter To Members Of The Financial Services Industry Regarding Compensation Of Retail Brokers And Their Supervisors August 29, 1994
Effective Date: November 1, 1994
SUGGESTED ROUTING |
Senior Management |
Executive Summary
SUGGESTED ROUTING |
Legal & Compliance |
Executive Summary
SUGGESTED ROUTING |
Legal & Compliance |
Executive Summary
SUGGESTED ROUTING |
Senior Management |
Executive Summary
Comment Period Expires October 1, 1994
SUGGESTED ROUTING |
Senior Management |
Executive Summary