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As of January 21, 1999, the following bonds were added to the Fixed Income
(a) Mandatory Member Participation
(1) Member participation in TRACE for trade reporting purposes is mandatory. Such mandatory participation obligates members to submit transaction reports in TRACE-Eligible Securities in conformity with the Rule 6700 Series.
(2) Participation in TRACE shall be conditioned upon the TRACE Participant's initial and
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Legal & ComplianceOperationsSystemsTrading
As of June 28, 1994, the following 68 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,688:
Symbol
Company
Entry Date
SOES Execution Level
ABRX
ABR Information Services Inc.
5/26/94
200
FRES
Fresh America Corp.
5/26/94
500
LZTN
Lazer-Tron Corporation
5/26/94
200
NPSP
NPS
If I have to pass a test to invest MY MONEY, does that man I have to pass a test to pay my taxes? If so, how many times can I fail?
If investing is too complicated, why doesnt the IRS/tax code require to pass a test?
This is dumb.
Uniform Practice Code Rule 11870 requires a member to adopt specific measures to facilitate the portability of all transferable securities, including mutual fund shares.<br />
February 1, 2001With the February 1, 2001 implementation of the Riskless Principal Trade Reporting Rules, many firms have asked how to report riskless principal executions to OATS.If a firm either does not report a trade with a customer to ACT (NASD Notice to Members 99-65) or submits a "non-tape, non-clearing report" or a "clearing-only" report (NASD Notice to Members 00-79)
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 51 securities voluntarily will join the NASDAQ National Market System on Tuesday, December 20. This will bring the total number of issues trading on NMS to 684. These 51 issues meet the voluntary designation criteria set by the SEC, which include an average monthly trading volume of 100,000 shares and a minimum bid
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
The National Market System will expand to 329 securities on June 21 when 50 more NASDAQ issues are voluntarily added to the 279 securities already trading on the System.
These 50 securities meet the SEC's criteria for voluntary designation, which include an average monthly trading volume of 100,000 shares and a minimum bid
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 14, the National Market System will include 789 securities as 50 more NASDAQ securities are phased into the System. (A week earlier, 12 mandatory designations will join NMS).
These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month