SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,900:
Symbol
Company
Date
SOES Execution Level
TDSRF
3-D Systems, Inc. (Rts)
5/27/92
1000
MSYSW
Medical Technology
I am against any and all regulations being considered by the Financial Industry that will rob or regulate a persons right to invest at any level. Everyone deserves the right we the people deserve to be able to buy cryptocurrency funds such as BITO, and dozens of other popular
investments deemed to be complex, I am total against an organization coming against the peoples right to buy, sell, trade
Please be aware the following Nasdaq infrastructure changes will affect all TRACE FTP subscribers.
NASDAQ will change the VPN concentrator address and the secure FTP server address effective Friday, May 13, 2005. Your firm will have a two-month parallel period to test and reconfigure your client to the new addresses. In order to make this a seamless transition for your firm, we are
Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
FINRA is conducting a targeted exam of firm practices regarding retail communications concerning Crypto Asset products and services.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 20, 1984, 40 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,142. These 40 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
NASD has filed with the SEC a proposed rule change to amend Section 9 of Schedule A of the NASD By-Laws ("Section 9") to: (1) delete current Section 9 regarding subscription charges for Firm Access Query System (FAQS); and (2) establish subscription charges for NASD member firms that choose to use Web CRD Electronic File Transfer system for registration batch filing and/or data download
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
October 30, 2003OATS Phase 3 reporting of manual orders has not yet been approved by the SEC. NASD, however, is reminding firms that have previously submitted an OATS Subscriber Initiation and Registration Form ("SIRF") indicating that they are Phase 3 firms to periodically review their business model and order handling processes to ensure they continue to qualify as a Phase 3 firm. If
To ensure a fair, balanced, inclusive market where everyone can invest with confidence, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA. FINRA-certified brokers have registered and undergone stringent Qualification Exams and are required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
