Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $432,850 to the National Bureau of Economic Research (NBER) to explore whether disclosure policies can be shaped to help individual investors better evaluate investment risks and consider mutual fund fees when making an investment decision. Formerly known as the NASD Investor Education Foundation, the FINRA Investor
I am pleased to be able to participate in these important public hearings on micro-cap stock fraud. As head of NASD Regulation’s Enforcement Department, my staff and I have had numerous opportunities to work with Andrew Kandel and the fine staff of the New York Attorney General’s Bureau of Investor Protection & Securities.
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
It has come to FINRA’s attention that the securities listed below have been set up on FINRA’s TRACE system, but have previously also been identified as municipal securities. As a result, transactions in many of these securities have been reported to both TRACE and the MSRB’s Real-Time Transaction Reporting System (RTRS).
In light of the above, FINRA contacted several of these securities’
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of June 27, 1995, the following 57 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,804:
Symbol
Company
Entry Date
SOES Execution Level
IBNJ
Independence Bancorp, Inc.
5/26/95
200
NINE
Number Nine Visual Technology Corp.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653:
Symbol
Company
Entry Date
SOESSM Execution Level
BUCK
Buckhead America Corporation
4/28/94
200
MLXR
MLX Corp.
4/28/94
200
ABCO
American Buildings Company
4/29/94
500
BRKB
Brooklyn
NASDR has filed with the SEC a proposed rule change to clarify the requirements for members to provide electronic access to Nasdaq's SelectNet and SOES order entry systems to public customers and non-members through the member firm's own system.
Washington, D.C.-The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1,522,122 in grants to 19 recipients as a part of the Smart investing@your library® initiative to provide millions of library patrons with effective, unbiased financial education resources.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 21, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,993. These 20 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
This report is provided as a compliance tool to help TRACE Security Administrators monitor TRACE system entitlement.
