Displaying 3311 - 3320 of 28153 Results
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 19, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
Symbol*
Company
Location
BMEEF
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 1, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,004:
Symbol*
Company
Location
BYTE
FINRA experienced an issue on March 6 with the processing of Monthly OTC Transparency Data, thereby causing a publication delay of ATS and Non-ATS Block data and downloads for the month of January 2023 on the OTC Transparency Data website. The issue was resolved and all files and data were published on the website.
If you have any questions, please contact ATS Support.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 19, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
Symbol*
Company
Location
DIFD
My firm is a 2 principal firm where I do institutional fixed income and my husband does retail. no assistants. I currently report to Trace myself vs. the clearing firm as my public agency clients purchase GSEs that are underwritten throughout the day vs. 1 time like munis and corporates. Only FHLMC and FNMA have P1 reporting on the 1st day, both FHLB and FFCB are S1 reporting. The clearing firm
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On January 1, 1988, the options regulators will install a revised ROP qualification examination on the PLATO testing network. The revised examination will be expanded to include index, interest rate, and foreign currency option questions. A revised Series 4 study outline incorporating the new material will be available shortly.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS JULY 16, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article I, Section (e) of the NASD By-Laws that would clarify that branch offices of NASD member firms located outside of the United States fall within the definition of "branch
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to: (1) increase the additional hearing-day honorarium chairs receive for each hearing on the merits from $125 to $250 and (2) create a new $125 chair honorarium for each prehearing conference in which the chair participates.1 To fund the increase in payments to chairs, the amendments make