SUGGESTED ROUTING
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
(a) Member Application Process
(1) Definitions
(A) "Associated Person"
Solely for purposes of paragraph (a) of this Rule, the term "associated person" means any: (1) sole proprietor, partner, officer, director or manager of a funding portal, or other natural person occupying a similar status or performing similar functions; (2) natural person directly
FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
(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
FINRA provides extensive resources to assist member firms with managing and addressing risks and threats that could pose harm to their business, compliance programs and investors, including:Highlights on the recent risks FINRA observed in our regulatory programs;Observations from recent targeted exams (sweeps) on emerging industry issues and related regulatory obligations; andOther FINRA
FINRA said today that Chairman and CEO Richard Ketchum, 64, has announced his plan to retire in the second half of 2016. The Board of Governors will conduct a search for his successor that will take into consideration internal and external candidates.
Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility
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
