Effective January 1, 2008,1 Dual Member firms will not be required to disclose the name of the securities market on which the transaction was effected on confirmations or reports as required under NYSE Rule 409(f).
Summary
Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted contact for a non-institutional customer’s account. This Notice summarizes member firms’ regulatory obligations, discusses the benefits of trusted contacts in administering customers’ accounts, highlights customer education resources and shares effective practices member firms
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
SR-FINRA-2008-044 - Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters
SR-FINRA-2008-032 - Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index
Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the
Consolidated FINRA Rulebook
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
As of July 28, 1994, the following 45 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,679:
Symbol
Company
Entry Date
SOES Execution Level
DSGT
Designatronics Incorporated
6/29/94
200
WCBO
West Coast Bancorp
6/29/94
200
BELW
Bellwether Exploration Company
6/30/94
200
HMNF
HMN Financial Resources
6/30/94
500
MSNS
MediSense, Inc.
6/30
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
