Summary
FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) are enhancing the Electronic Blue Sheets (EBS) to improve their ability to analyze broker-dealers’ trading activities.
Effective immediately, firms will be required to update certain data elements for EBS to reflect the SEC’s May 10, 2019, and May 4, 2020, approvals of Long Term Stock Exchange
GUIDANCENAC NominationsNomination Deadline: May 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementNational Adjudicatory CouncilExecutive SummaryThe purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-year terms of the NAC regional Industry
Remarks From the National Compliance Outreach Program for Broker-Dealers
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
INFORMATIONAL
NAC Nominations
Nomination Deadline: May 9, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-
Unless otherwise indicated, suspensions will begin with the opening of business on Monday April 15, 1996. The information relating to matters contained in this section is current as of April 5, 1996. Information received subsequent to April 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
M. Rimson & Co. Inc. (New York, New York), Moshe Rimson (Registered
ACTION REQUESTED
Public Information Review
Comment Period Expired: December 2, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Public Information Review
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of December 27, 1993, the following 90 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,472:
Symbol
Company
Entry Date
SOESSM Execution Level
INSL
Insilco Corporation
11/29/93
1000
WVFC
WVS Financial Corp.
11/29/93
1000
ASH
Airport Systems International, Inc.
11/30
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSystemsTrading
As of December 28, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,752:
BPTM
Bridgeport Machines, Inc.
11/29/94
500
VECO
Veeco Instruments, Inc.
11/29/94
500
AMSE
American Mobile Systems, Inc
