SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
Lawyers
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 13, 1988, the following four issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,887
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 16, 1988, the following nine issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,030:
Symbol*
Company
Location
CXRLD
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 18, 1986, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,277. 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
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 49 issues joining NASDAQ's National Market System on Tuesday, July 10, there will be over 1,000 issues trading under real-time trading reporting. These 49 issues meet the SEC's voluntary designation criteria.
The securities scheduled to join NMS in July are:
SYMBOL
COMPANY
LOCATION
AELNA
AEL Industries, Inc. (Cl A
In June 2007, FINRA (then NASD and NYSE Member Regulation)1 issued for comment proposed guidance regarding the review and supervision of electronic communications. FINRA received 16 comment letters, with a majority of commenters supporting the guidance.
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the time of
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
The FINRA Test Facility (NTF) is now available for testing all FINRA Multi Product Platform (MPP) products.
Please contact FINRA Operations or call (866) 776-0800 with questions regarding this notice.
