FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Financial Responsibility and Operational Requirements
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 14, 1990, the following 21 issues joined NASDAQ/NMS, bringing the total number of issues to 2,658:
Symbol
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 13, 1989, the following six issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,859
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 16, 1988, the following nine issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,030:
Symbol*
Company
Location
CXRLD
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 18, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,012. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
On Tuesday, August 9, 1983, 44 securities will join the 378 then trading in the NASDAQ National Market System. These securities have met the requirements for NMS mandatory designation, which include an average trading volume of 600,000 shares a month for six months through June and a bid price of $10 on the last five days in
Regulatory Element Continuing Education Fees to Increase
We selected the topics in this Report for their interest to the largest number of member firms; consequently, they may include areas that are not relevant to an individual member firm and omit other areas that are applicable.
FINRA advises each member firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to its activities. The
FINRA Rule 5123(a) requires firms that sell a private placement to file a copy of any offering document with FINRA within 15 calendar days of the first sale, subject to certain exemptions. FINRA Rule 5122(b)(2) requires firms that sell a private placement of unregistered securities issued by a member or a control entity to file a copy of any offering document
SUGGESTED ROUTING:*
Legal & ComplianceOperationsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
