Notice of Contested Election and Ballots for Small Firm NAC Member Seat
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of September 29, 1994, the following 49 issues joined the Nasdaq National Market, bringing the total number of issues to 3,725:
Symbol
Company
Entry Date
SOES Execution Level
BDTC
Bio-Dental Technologies
8/30/94
200
FCNB
Corporation FCNB Corp.
8/30/94
200
CCIL
Cellular Communications International,
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of May 24, 1993, the following 58 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,108:
Symbol
Company
Entry Date
SOES Execution Level
SFSW
State Financial Services Corporation
4/26/93
500
ACTNW
Action Performance Companies, Inc. (4/27/98 Wts)
4/27/93
500
ACTN
Action
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III. Section 21 of the NASD Rules of Fair Practice to incorporate into predispute arbitration agreements a provision that will make class action
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of January 12, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,881
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm
As of November 21, 1988, the following 25 issues joined the NASDAQ National Market System, bringing the total number of issues in
The Anti-Money Laundering, Fraud and Sanctions topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 4, 1987, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,018. These 30 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
