SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSystemsTrading
As of December 28, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,752:
BPTM
Bridgeport Machines, Inc.
11/29/94
500
VECO
Veeco Instruments, Inc.
11/29/94
500
AMSE
American Mobile Systems, Inc
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Research
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III,
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
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 Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Summary
Effective September 1, 2021, FINRA is amending its rulebook to eliminate the Order Audit Trail System (OATS) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) (collectively referred to as the “OATS Rules”). FINRA has determined that the accuracy and
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1991, the following 11 issues joined Nasdaq/NMS, bringing the total number of issues to 2,573:
Symbol
Company
Entry Date
SOES Execution Level
FBII
First Bancorp Indiana, Inc.
12/13/90
500
CATY
Cathay Bancorp, Inc.
12/14/
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 12, 1990, the following six issues joined Nasdaq/NMS, bringing the total number of issues to 2,587:
Symbol
Company
Entry Date
SOES Execution Level
CBEX
Cambex Corporation
11/20/90
1000
DEPLF
Deprenyl Research Limited
11/20/
Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
