Displaying 4351 - 4360 of 4654 Results
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame for most securities
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-
Merger of FINRA Dispute Resolution
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
By-Laws of FINRA Dispute Resolution, Inc.
By-Laws of FINRA Regulation, Inc.
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
Suggested Routing
Compliance
Legal
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of June 22, 1993, the following 54 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,145:
Symbol
Company
Entry Date
SOES Execution Level
FFEX
Frozen Food Express Inds., Inc.
5/25/93
1000
STCI
Station Casinos, Inc.
5/25/93
500
ZHOM
Zaring Homes, Inc.
5/25/93
1000
HFSC
Hamilton
The Reporting Firm 10 Second Compliance Report Card are monthly status reports for market participant that contain counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Reporting Firm is defined as the firm that reported the Executing Party of the trade.
Member firms are required to report trades in accordance with established FINRA rules
The Executing Firm 10 Second Compliance Report Card is a monthly status report for trades that another firm reported on behalf of the market participant. The report contains counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Executing Firm is defined as the member that receives an order for handling or execution or is presented an
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 28, 1992, the following 48 issues joined the Nasdaq National Market, bringing the total number of issues to 2,916:
Symbol
Company
Entry Date
SOES Execution Level
CTEC
Cholestech Corporation
6/26/92
1000
SBUX
Starbucks Corporation
6/26/
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 25, 1991, the following 57 issues joined the Nasdaq National Market, bringing the total number of issues to 2,645:
Symbol
Company
Entry Date
SOES Execution Level
ODFL
Old Dominion Freight Line, Inc.
10/24/91
1000
UWSI
United
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on the compensation arrangements for investment advisory activities of registered representatives who are also registered as investment advisers and are conducting their