FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 18, 1986, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,658. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Please let investors decide what to buy and when to buy, especially if they have risk appetite. For example liquid assets invested in market more than 100k
Do not limit an investor's ability to invest in any fund, especially leveraged and inverse funds. These funds are a important instrument in dealing with economic cycles and protecting personal assets.
Leveraged ETFs should be available to everyone. They are not more complex and risky than buying options. Level 2 options approval is easy for anyone to obtain and Options are a wasting asset.
July 9, 2004
Below are the order report formats for the New Order Report, Execution Report, Combined Order/Route Report and Combined Order/Execution Report, which will be effective in the OATS Testing environment on September 20, 2004 and in the OATS Production environment on October 4, 2004. Further details will be forthcoming in the OATS Reporting Technical Specifications. If you have any
I oppose restrictions to my right to invest. I can take my assets and investments to foreign countries if my investing is restricted in the US. Tax revenue would be lost.
Dear sir, I do have enough capital and knowing the risk to invest for my retirement, I only use small portion of my capital to invest in those leveraged and inverse funds and trying to enhance my return on my investment! Please never put any restrictions on my right to invest in those leveraged and inverse funds! Thank you!
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032:
Symbol
Company
Entry Date
SOES Execution Level
CMPO
Campo Electronics Appliances & Computers Inc.
2/24/93
1000
FSOU
First Southern Bancorp, Inc.
2/24/93
500
PENVF
Philip
There may come a time when you want to transfer your securities accounts between broker-dealers. If so, here’s what you need to know.Most customer accounts are transferred between broker-dealers through an automated process. The National Securities Clearing Corporation (NSCC) operates the Automated Customer Account Transfer Service (ACATS) to facilitate the transfer of a customer account from one
