There are many ways you can slice a pie and reasons why you might want to serve larger or smaller pieces, but if you go too big, the size of a piece can become overwhelming. Sometimes, the same could be said of stocks.When a stock price gets high, sometimes a public company will want to lower that price and can do that with a stock split.A stock split is a decision by a company’s board to
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PART I
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 5, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws. The amendments would require controlling persons of a firm liquidated under the Securities Investor Protection Act of 1970 (SIPA) to undergo eligibility proceedings pursuant to the
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees and the District Nominating Committees. The
candidates nominated to the District Committees have been duly
elected in
SEC Approves Consolidated Front Running Rule
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
Nasdaq Postpones SuperSoes Until Fourth Quarter 2000
The Nasdaq Stock Market, Inc. announced last month that the introduction of the Nasdaq National Market Execution System (SuperSoesSM) and modifications to SelectNet® have been postponed until the fourth quarter of 2000.
In response to industry feedback, Nasdaq® will postpone the SuperSoes launch and SelectNet modifications previously
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1990, the following 30 issues joined NASDAQ/NMS, bringing the total number of issues to 2,647:
Symbol
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of June 14, 1989, the following 18 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 19, 1987, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,893. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
