SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1995:
January 2
New Year's Day (observance)
February 20
President's Day
April 14
Good Friday
May 29
Memorial Day
July 4
Independence Day
September 4
Labor Day
November 23
Thanksgiving Day
December 25
Christmas
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/
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1990, the following 13 issues joined Nasdaq/NMS, bringing the total number of issues to 2,609:
Symbol
I am a new retail investor. I hold GME and AMC stocks not only as a way to gain financial freedom, but also as a way to protest market manipulation and shed a light on corruption in Wallstreet. After learning about the blatant manipulation that is happening in the market, I have grown increasingly passionate about fighting for a free and fair market for all. I have witnessed the hedge funds
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
Comment Period Expires October 17, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form,
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 3, 1987, 24 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,754. These 24 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Notice of FINRA District Committee Election and Ballots
Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 4, 1986, 14 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,259. These 14 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
