SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective January 1, 1998, tier sizes for 544 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1997, tier sizes for 537 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
Under Rule 4710, the maximum Small Order Execution
I am Dan Sibears and I currently serve as Executive Vice President, Member Regulation Programs for the Financial Industry Regulatory Authority, or FINRA®. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of June 28, 1994, the following 68 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,688:
Symbol
Company
Entry Date
SOES Execution Level
ABRX
ABR Information Services Inc.
5/26/94
200
FRES
Fresh America Corp.
5/26/94
500
LZTN
Lazer-Tron Corporation
5/26/94
200
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571:
Symbol
Company
Entry Date
SOESSM Execution Level
CHGNF
AES China Generating Co. Ltd. (Cl A)
2/24/94
500
EFCX
Electric Fuel Corporation
2/24/94
500
GVIL
Global Village Communications, Inc.
2/24/
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of February 24, 1994, the following 62 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,537:
Symbol
Company
Entry Date
SOESSM Execution Level
SLOT
Anchor Gaming
1/28/94
500
NSTA
Anesta Corp.
1/28/94
500
GNPT
GP Financial Corp.
1/28/94
1000
INTM
Interim Services Inc.
1/28/94
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Training
Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of October 25, 1993, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,325:
Symbol
Company
Entry Date
SOES Execution Level
TBAY
Gotham Apparel Corp.
9/27/93
1000
BPIX
Broadcasting Partners, Inc. (Cl A)
9/28/93
1000
COSB
CSB Financial
Application of the OATS Rules to: partial executions, bunched orders, pegged orders, and negotiated orders.<br/>
