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
Internal AuditOperationsSystemsTrading
As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032:
Symbol
Company
Entry Date
SOES Execution Level
CMPO
Campo Electronics Appliances & Computers Inc.
2/24/93
1000
FSOU
First Southern Bancorp, Inc.
2/24/93
500
PENVF
Philip
Testimony of FINRA Chairman and CEO, Richard Ketchum, Before the Subcommittee on Securities, Insurance and Investment, United States Senate
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Executive Summary
As of December 21, 1992, the following 47 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,977:
Symbol
Company
Date
SOES Execution Level
AMEP
American Educational Products Inc.
11/23/92
1000
CRTQZ
Cortech Inc.
11/24/92
1000
FORBP
Fortune Bancorp, Inc. Ser
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,947:
Symbol
Company
Entry Date
SOES Execution Level
FMDD
F & M Distributors, Inc.
9/25/92
500
USML
Sec. 8. Meetings of the Board shall be held at such times and places, upon such notice, and in accordance with such procedure as the Board in its discretion may determine. Special meetings of the Board of the Corporation may be called by the Board, the Chief Executive Officer of the Corporation, the Chair or the Lead Governor. Each of the Chief Executive Officer of the Corporation and
Sec. 8.15 The Independent Agent shall set aside a ballot if: (a) the ballot is received from a FINRA member eligible to vote in the district and the ballot is signed by a person who is not the Executive Representative listed on the vote qualification list prepared under Section 8.12, and the Secretary of FINRA has not received proper notice of a change in Executive Representative
In connection with the Mutual Fund Waiver Sweep and pursuant to FINRA Rule 8210, FINRA requests that the Firm provide the following documents and information to FINRA staff on or before June 10, 2016 regarding the above referenced Sweep.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725:
Symbol
Company
Entry Date
SOES Execution Level
AUGI
American United Global, Inc.
1/28/92
1000
CALL
Fleet Call
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
