SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1997, tier sizes for 537 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
Under Rule 4710, the maximum Small Order Execution
Summary Arbitration Statistics December 2012
New Case Filings through December:
2010
5,680
2011
4,729
2012
4,299
2012 vs 2011
-9%
Number of Cases Closed through December:
2010
6,241
2011
6,099
2012
4,877
2012 vs 2011
-20%
Turnaround Time1 (in months) through December:
Year
Summary Arbitration Statistics December 2013
New Case Filings through December:
2011
4,729
2012
4,299
2013
3,714
2013 vs 2012
-14%
Number of Cases Closed through December:
2011
6,099
2012
4,877
2013
4,498
2013 vs 2012
-8%
Turnaround Time1 (in months) through December:
Year
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of February 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
UH.GE
U.S. Home Corp New
7.750
01/15/05
DGAS.GC
Delta Natural Gas Inc
8.300
08/01/26
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Good Friday: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 10, 1998. "Regular way" transactions made on the business days noted below will be subject to the following
