TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
On Tuesday, May 10, 1983, 43 securities will join the 182 already trading in the NASDAQ National Market System. These securities have met the requirements for NMS mandatory designation, which include an average trading volume of 600,000 shares a month for six months through March and a bid price of $10 on the last five days in March
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As of December 29, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SPRC.GA
Southern Pacific Rail Corp.
9.625
8/15/05
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
Comment Period Expires July 30, 1999
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1 This report is not intended to express any legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes key findings from FINRA’s outreach and research on the use of quantum computing in the financial
In observance of Independence Day, the ADF System will be closed on Wednesday, July 4, 2018.
Additionally, please be advised that the ADF system will close early on Tuesday, July 3, 2018. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Market
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 12 securities will join the 728 already designated to trade in the NASDAQ National Market System on Tuesday, February 7, 1984. These securities have met the mandatory NMS designation requirements which include an average trading volume of 600,000 shares a month and a minimum bid price of $10 on the last five business
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
(a) Notice of Requirements and/or Restrictions; FINRA Action
FINRA staff may issue a notice directing a member to comply with the provisions of Rule 4110, 4120 or 4130 or restrict its business activities, either by limiting or ceasing to conduct those activities consistent with Rule 4110, 4120 or 4130, if FINRA staff has reason to believe that a condition specified in Rule 4110, 4120 or
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As of February 23, 1995, the following 41 issues joined the Nasdaq National Market, bringing the total number of issues to 3,742:
Symbol
Company
Entry Date
SOES Execution Level
ATVI
Activision, Inc.
1/27/95
200
DZTK
Daisytek International
