SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On August 25, 1993, the Securities and Exchange Commission (SEC) approved amendments to Part I, Section 1, and Part II, Sections 8 and 9, of the Code of Arbitration Procedure (Code) to clarify that employment-related disputes are arbitrable and to provide that employment discrimination or employment
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of June 22, 1993, the following 54 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,145:
Symbol
Company
Entry Date
SOES Execution Level
FFEX
Frozen Food Express Inds., Inc.
5/25/93
1000
STCI
Station Casinos, Inc.
5/25/93
500
ZHOM
Zaring Homes, Inc.
5/25/93
1000
HFSC
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 28, 1992, the following 48 issues joined the Nasdaq National Market, bringing the total number of issues to 2,916:
Symbol
Company
Entry Date
SOES Execution Level
CTEC
Cholestech Corporation
6/26/92
1000
SBUX
Starbucks
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of May 27, 1992, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 2,863:
Symbol
Company
Entry Date
SOES Execution Level
SPTN
SportsTown, Inc.
4/22/92
1000
SMRT
Stein Mart, Inc.
4/22/92
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of March 25, 1992, the following 63 issues joined the Nasdaq National Market, bringing the total number of issues to 2,766:
Symbol
Company
SOES Entry Date
Execution Level
LTCH
Litchfield Financial Corporation
2/25/92
1000
SCHL
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 25, 1991, the following 57 issues joined the Nasdaq National Market, bringing the total number of issues to 2,645:
Symbol
Company
Entry Date
SOES Execution Level
ODFL
Old Dominion Freight Line, Inc.
10/24/91
1000
UWSI
United
These report cards will help firms track their compliance with key equity trading rules related to CAT, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
INFORMATIONAL
Non-Conventional Investments
SUGGESTED ROUTING
KEY TOPICS
Legal/Compliance
Retail
Senior Management
Internal Audit
Advertising and Sales Literature
Due Diligence
Non-Conventional Investments
Suitability
Executive Summary
In the aftermath of the recent downturn in the equity markets, NASD reviewed the
Effective Date: Jan. 1, 2024The Financial Industry Regulatory Authority, Inc. ("FINRA") develops and licenses financial services industry-related materials and courses (“CE Licensed Product(s)”) that are made available through FINRA’s online platform (“FinPro”). The use of the CE Licensed Product(s) is conditioned upon the acceptance by you (“End User”), without modification, of these
