SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for options
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The number of
I would like to express my SUPPORT for additional regulation of trading leveraged and inverse funds. I use leveraged ETFs quite heavily in my own financial planning, and I don't see any reason not to require investors to pass a simple test to use these products. They are a great tool for hedging, but they can be very riskyand I believe some measures should be taken to make sure that they
New paper is a catalyst for a cultural shift to end the practice of blaming fraud victims for the crimes they experienced
WASHINGTON — A new report from the AARP Fraud Watch Network and FINRA Investor Education Foundation says shifting how our society talks about victims of financial fraud could lead to a much-needed change in how our country responds to this growing crime.
“As a society, we
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.
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
5/7/2022 ..Special Test! Do I need you to look over my shoulder as I decide that the price of a security is unrealistically high? Maybe force me to take a special test to judge if I am worthy to take a position?
So what is it? A complete lack of understanding free/fair price discovery? Or arrogance that you (the experts??) know best for the rest of us.
Have you noticed that markets go up and down
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
