TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 15, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,996:
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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: August 9, 1986.
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment to Section 2 of Schedule G of the NASD By-Laws. The proposed amendment would require NASD members to report transactions in listed securities executed between 4 p.m. and 4:30 p.m. Eastern Time to the
FINRA Announces New Web-based System for the Collection of Short Interest Positions
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
To whom it may concern, I am an individual investor with no special expertise in financial markets or their regulation. However, I am a scientist who performs a lot of data analysis, statistics and machine learning for my profession, and therefore I believe I have more than enough expertise to analyze financial data that is available. In order for informed decisions to be made, whether in finance
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to Articles VII and X
Remarks from the FINRA Annual Conference
What is Herd?
Overview
Herd is big data governance for the cloud. The herd Unified Data Catalog (UDC) helps separate compute from storage in the cloud. Herd job orchestration manages your ETL and analytics processes while tracking all data in the catalog. Here is a quick summary of features:
Unified Data Catalog - A centralized, auditable catalog for operational usage and data governance
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations under Rule 1017.
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
