HelpFINRA Manual: Contents
FINRA Manual
Corporate Organization Notices
1995
95-104 Expanded Sign-In Procedures At The PROCTOR Centers, Effective February 1, 1996; And PROCTOR Adds Remote Delivery Sites
95-103 SEC Approves A Policy That Delegates Authority To The NASD Staff And The NASD Fixed Income Committee To Review Member Requests For Exemptions From MSRB Rule G-37(b)
95-101 Mail Vote—NASD Solicits Member Vote On Amendments To The NASD By-Laws To Reconfigure The NASD Board And Establish A National Nominating Committee;
95-88 Treasury Delays Effective Date Of Wire Transfer Recordkeeping Requirements Until April 1, 1996; Proposes Clarifying Amendments
95-85 Clarification Of NASD Notice to Members 95-16 And NYSE Information Memorandum 95-16: Content And Enforcement Of Provisions In Customer Agreements And Predispute Arbitration Clauses
95-83 SEC Approves Rules Permitting Arbitration Participants To Seek Injunctive Relief From Arbitrators
95-81 SEC Approves Rules For Reporting Customer Complaint Information; Special NASD Notices to Members
95-80 NASD Further Explains Members Obligations And Responsibilities Regarding Mutual Funds Sales Practices
95-76 SEC Permits NASD To Discipline Members And Associated Persons Who Fail To Honor Arbitration Or Mediation Settlement Agreements
95-73 NASD Requests Comment On Member Obligations To File Certain Exchange Offers That Result In Public Distributions;
95-69 Treasury Amends Bank Secrecy Act; Requires Additional Recordkeeping Requirements For Wire Transfers
95-64 SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice And Part I Of Schedule D To The NASD By-Laws Relating To Limited Partnership Rollup Transactions
95-63 SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice Relating To Freely Tradeable Direct Participation Program Securities
95-61 Mail Vote—NASD Solicits Member Vote On Amendments To The By-Laws To Include Statutory Disqualification Provisions Adopted By Congress;
95-56 NASD Files With The SEC Proposals Related To Non-Cash Incentive Programs, Disclosure Of Cash Compensation, And Direct Payments To Associated Persons
95-54 SEC Approves Amendments To Article III, Section 21 Of The NASD Rules Of Fair Practice Relating To Cold-Calling Requirements
95-50 Availability Of New Qualification Examination For Registered Options Limited Representative (Series 42)
95-47 SEC Approves NASD Proposal To Raise Position Limits For Certain Equity Securities Not Subject To Standardized Options Trading
95-45 SEC Approves Amendments To NASD Interpretation Of Forwarding Of Proxy And Other Materials Under Article III, Section 1 Of The Rules Of Fair Practice
95-44 Request For Comments On Proposed Amendments To The Exception To The Qualified Independent Underwriter Requirement In Schedule E To The NASD By-Laws;
95-37 SEC Approves NASD Proposal Amending The Foreign-Associate Provisions Of Schedule C To The NASD By-Laws
95-36 SEC Approves T+3-Related Amendments To The NASD Uniform Practice Code And Rules Of Fair Practice
95-33 Mail Vote—NASD Solicits Member Vote On Measures To Discipline Members And Registered Persons For Failing To Honor Arbitration And Mediation Settlement Agreements; Last Voting Date: June 15, 1995
95-29 Treasury Approves Amendments To Capital Requirements Under The Government Securities Act Of 1986
95-28 Treasury Provides Government Securities Broker/Dealers With Exemptive Relief In Calculating Haircuts For Options On Certain Mortgage-Backed Securities
95-24 SEC Approves Recordkeeping And Reporting Requirements For Trading Systems Operated By Broker/Dealers
95-22 SEC Approves Amendments To Article III, Section 44 Of The NASD Rules Of Fair Practice About Filing Requirements For Modified Guaranteed Annuity And Life Insurance Contracts
95-21 Request For Comments On Proposed Suitability Obligations To Institutional Customers Interpretation;
95-20 NASD Solicits Member Comment On Proposals For Comprehensive Improvements To The Regulation And Operation Of The Nasdaq Stock Market;
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95-99 Nasdaq National Market Additions, Changes, And Deletions As Of October 20, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of October 20, 1995, the following 82 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,913:
| Symbol | Company |
Entry Date |
SOES Execution Level |
| ANMWV | Advanced NMR Systems, Inc. (Wts 8/30/00 WI) |
9/21/95 |
200 |
| BVAS | Bio-Vascular, Inc. |
9/21/95 |
500 |
| CRLBF | Core Laboratories, N.V. |
9/21/95 |
200 |
| TALK | Tel-Save Holdings, Inc. |
9/21/95 |
500 |
| GSCN | General Scanning Inc. |
9/22/95 |
200 |
| MLWL | Mail-Well, Inc. |
9/22/95 |
1000 |
| SPOT | PanAmSat Corporation |
9/22/95 |
500 |
| UDCI | United Dental Care, Inc. |
9/22/95 |
500 |
| ACMM | Accom, Inc. |
9/27/95 |
200 |
| CKFR | Checkfree Corporation |
9/28/95 |
1000 |
| MIZR | Mizar, Inc. |
9/28/95 |
500 |
| AHIS | AHI Healthcare Systems, Inc. |
9/29/95 |
200 |
| CMSX | Computer Management Sciences, Inc. |
9/29/95 |
200 |
| DEPO | DepoTech Corporation |
9/29/95 |
200 |
| EBAY | Eastbay, Inc. |
9/29/95 |
1000 |
| MPDI | Microwave Power Devices, Inc. |
9/29/95 |
200 |
| SIMWF | Simware, Inc. |
9/29/95 |
200 |
| ZCON | Zycon Corporation |
9/29/95 |
200 |
| DFIN | Damen Financial Corporation |
10/2/95 |
500 |
| ERIE | Erie Indemnity Company (Cl A) |
10/2/95 |
200 |
| SFIN | Statewide Financial Corp. |
10/2/95 |
500 |
| TL1C | Transport Holdings Inc. (Cl A) |
10/2/95 |
200 |
| DDII | Data Documents Incorporated |
10/3/95 |
200 |
| BGLS | Manhattan Bagel Company, Inc. |
10/3/95 |
500 |
| FTPS | First Investors Financial Services Group |
10/4/95 |
500 |
| HFFB | Harrodsburg First Financial Bancorp, Inc. |
10/4/95 |
200 |
| DCBK | Desert Community Bank |
10/5/95 |
200 |
| HDSX | HDS Network Systems, Inc. |
10/5/95 |
200 |
| HDSXW | HDS Network Systems, Inc. (Wts 3/25/00) |
10/5/95 |
200 |
| KFBI | Klamath First Bancorp, Inc. |
10/5/95 |
200 |
| ERIRY | LM Ericsson Telefonaktiebolaget (Rts) |
10/5/95 |
200 |
| TPNZ | Tappan Zee Financial, Inc. |
10/5/95 |
200 |
| ESST | ESS Technology, Inc. |
10/6/95 |
200 |
| GADZ | Gadzooks, Inc. |
10/6/95 |
500 |
| LCRY | LeCroy Corporation |
10/6/95 |
200 |
| MYGN | Myriad Genetics, Inc. |
10/6/95 |
200 |
| NURTF | Nur Advanced Technologies, Limited |
10/6/95 |
200 |
| TSTI | TST/Impreso, Inc. |
10/6/95 |
200 |
| TIPIF | The Instant Publisher, Inc. |
10/6/95 |
200 |
| VRTY | Verity, Inc. |
10/6/95 |
200 |
| VTEK | Vodavi Technology, Inc. |
10/6/95 |
200 |
| WLDA | World Airways, Inc. |
10/6/95 |
500 |
| LIHRY | Lihir Gold, Limited |
10/9/95 |
1000 |
| USDL | U.S. Diagnostic Labs Inc. (Cl A) |
10/9/95 |
500 |
| USDLW | U.S. Diagnostic Labs Inc. (Wts Cl A 10/14/99) |
10/9/95 |
500 |
| USDLZ | U.S. Diagnostic Labs Inc. (Wts Cl B 10/14/99) |
10/9/95 |
500 |
| SFAM | SpeedFam International, Inc. |
10/10/95 |
1000 |
| SYMT | Symetrics Industries, Inc. |
10/10/95 |
200 |
| WLTR | Walter Industries, Inc. |
10/10/95 |
200 |
| APAC | APAC TeleServices, Inc. |
10/11/95 |
500 |
| ELNT | Elantec Semiconductor, Inc. |
10/11/95 |
1000 |
| GMSTF | Gemstar International Group, Ltd. |
10/11/95 |
500 |
| NSYS | Nortech Systems Incorporated |
10/11/95 |
200 |
| SCSC | ScanSource, Inc. |
10/11/95 |
200 |
| OAKF | Oak Hill Financial, Inc. |
10/12/95 |
200 |
| PFAPV | Pro-Fac Cooperative, Inc. (Cl A Pfd WI) |
10/12/95 |
200 |
| SNUS | SONUS Pharmaceuticals, Inc. |
10/12/95 |
200 |
| GTBX | GT Bicycles, Inc. |
10/13/95 |
200 |
| RSTOW | Rose's Stores, Inc. (Wts 4/28/02) |
10/13/95 |
200 |
| POOL | SCP Pool Corporation |
10/13/95 |
1000 |
| XETA | Xeta Corporation |
10/13/95 |
200 |
| AMCN | American Coin Merchandising, Inc. |
10/16/95 |
1000 |
| FDYMF | First Dynasty Mines Limited |
10/16/95 |
200 |
| FBHC | Fort Bend Holding Corp. |
10/16/95 |
200 |
| SMCS | Star Multi Care Services, Inc. |
10/16/95 |
200 |
| IMAC | Int'l Metals Acquisition Corp. |
10/17/95 |
1000 |
| IMACW | Int'l Metals Acquisition Corp. (Wts) |
10/17/95 |
1000 |
| LGWX | Logic Works, Inc. |
10/17/95 |
200 |
| MVCO | Meadow Valley Corporation |
10/17/95 |
200 |
| MVCOW | Meadow Valley Corporation (Wts 10/17/00) |
10/17/95 |
200 |
| ADEX | ADE Corporation |
10/18/95 |
500 |
| ARVI | ARV Assisted Living, Inc. |
10/18/95 |
200 |
| AFCB | Affiliated Community Bancorp, Inc. |
10/19/95 |
1000 |
| ANGN | Angeion Corporation |
10/19/95 |
500 |
| ANGNW | Angeion Corporation (Wts 3/12/96) |
10/19/95 |
500 |
| GLIA | Gliatech Inc. |
10/19/95 |
200 |
| SVECF | ScanVec Company (1990), Limited |
10/19/95 |
200 |
| TGAL | Tegal Corporation Ltd. |
10/19/95 |
200 |
| WIRL | Wireless One, Inc. |
10/19/95 |
200 |
| ESIX | Enterprise Systems, Inc. |
10/20/95 |
200 |
| RSYS | RadiSys Corporation |
10/20/95 |
1000 |
| RMRPO | Resource Mortgage Capital, Inc. (Pfd Ser B) |
10/20/95 |
1000 |
Nasdaq National Market Symbol And/Or Name Changes
The following changes to the list of Nasdaq National Market securities occurred since September 21, 1995:
| New/Old Symbol | New/Old Security |
Date of Change |
| CYGN/CYGN | Cygnus, Inc./Cygnus Therapeutic Systems, Inc. |
9/21/95 |
| GTTIF/MTCEF | GrandeTel Technologies, Inc./MTC Electronic Technologies Co., Ltd. |
9/21/95 |
| MEDS/CYT1 | Medstone International Inc./Cytocare, Inc. |
9/25/95 |
| DOSEW/DOSEW | Choice Drug Systems, Inc. (Wts 3/31196)/Choice Drug Systems, Inc. (Wts 9/30/95) |
9/26/95 |
| CINRF/CINDF | Cinar Films, Inc./Cinar Films, Inc. |
9/27/95 |
| PURW/HOLD | Pure World, Inc./American Holdings, Inc. |
9/28/95 |
| VWRX/VWRX | VWR Scientific Products Corporation/VWR Corporation |
9/28/95 |
| FDEF/FDEF | First Defiance Financial Corp./First Federal Savings and Loan |
10/2/95 |
| TWSTY/TWSTY | Tele West plc/TeleWest Communications pic |
10/2/95 |
| KAYE/OLHC | Kaye Group Inc./Old Lyme Holding Corporation |
10/3/95 |
| LIHRY/LIHYV | Lihir Gold, Ltd./Lihir Gold, Ltd. (WI) |
10/10/95 |
| UNFR/UNFR | Uniforce Services, Inc./Uniforce Temporary Personnel, Inc. |
10/10/95 |
| NRLD/OSTC | Norland Medical Systems, Inc./Ostech, Inc. |
10/11/95 |
| NEXT/STSN | NextHealth, Inc/Sierra Tucson Companies, Inc. |
10/12/95 |
| HOLI/AMPC | Hollinger International, Inc. (Cl A)/American Publishing Company (Cl A) |
10/16/95 |
| HRZB/HRZB | Horizon Financial Corp./Horizon Bank |
10/16/95 |
| ANMRW/ANMWV | Advanced NMR Systems, Inc. (Wts 8/30/00)/Advanced NMR Systems, Inc. (Wts 8/30/00 W/I) |
10/18/95 |
| HDSXW/HDSXW | HDS Network Systems, Inc. (Wts 3/25/00)/HDS Network Systems, Inc. (Wts 3/25/98) |
10/20/95 |
Nasdaq National Market Deletions
| Symbol | Security |
Date |
|
| RNDM | Random Access, Inc. |
9/21/95 |
|
| NGCO | National Gypsum Company |
9/22/95 |
|
| NGCOW | National Gypsum Company (Wts 7/1/00) |
9/22/95 |
|
| SDNBR | SDNB Financial Coip. (Rts 7/21/95) |
9/22/95 |
|
| GUCOW | The Grand Union Co. (Wts Ser 1 6/15/00) |
9/22/95 |
|
| GUCOZ | The Grand Union Co. (Wts Ser 2 6/15/00) |
9/22/95 |
|
| CREB | Champion Parts, Inc. |
9/27/95 |
|
| AUFN | AutoFinance Group, Inc. |
9/28/95 |
|
| NVIC | N-Viro International Corporation |
9/28/95 |
|
| PTCM | Pacific Telecom, Inc. |
9/28/95 |
|
| ACSE | ACS Enterprises, Inc. |
9/29/95 |
|
| PLSE | Pulse Engineering, Inc. |
9/29/95 |
|
| IGLI | IG Laboratories, Inc. |
10/2/95 |
|
| IFLM | Interfilm, Inc. |
10/2/95 |
|
| VIGN | Viagene, Inc. |
10/2/95 |
|
| ADVC | Advance Circuits, Inc. |
10/3/95 |
|
| CROM | Chromcraft Revington, Inc. |
10/3/95 |
|
| CLIN | CliniCom Incorporated |
10/3/95 |
|
| IFGI | Insignia Financial Group, Inc. |
10/3/95 |
|
| MEDR | Medrad, Inc. |
10/3/95 |
|
| MILW | Milwaukee Insurance Group, Inc. |
10/3/95 |
|
| TYGR | Tigera Group, Inc. |
10/3/95 |
|
| LINB | LIN Broadcasting Corp. |
10/4/95 |
|
| HTPI | Home Theater Products International, Inc. |
10/5/95 |
|
| PTENW | Patterson Energy, Inc. (Wts) |
10/5/95 |
|
| UNSA | United Financial Corp. of S.C., Inc. |
10/6/95 |
|
| TOWVW | Stratosphere Corporation (Wts 2/22/99) |
10/11/95 |
|
| HISSZ | Healthcare Imaging Services, Inc. (Wts B) |
10/12/95 |
|
| BUMM | B.U.M. International, Inc. |
10/13/95 |
|
| SDYN | Staodyn,Inc. |
10/13/95 |
|
| SDYNZ | Staodyn, Inc. (Ser II Wts 11/1/96) |
10/13/95 |
|
| CHPM | Chipcom Corporation |
10/16/95 |
|
| FSTMQ | Forstmann & Company, Inc. |
10/16/95 |
|
| PCLI | Physicians Clinical Laboratory, Inc. |
10/16/95 |
|
| SUPR | Super Rite Corp. |
10/16/95 |
|
| AMBJ | American City Business Journals, Inc. |
10/19/95 |
|
| BWSQE | BioMedical Waste Systems, Inc. |
10/19/95 |
|
| LEXB | Lexington Savings Bank |
10/19/95 |
|
| MSCB | Main Street Community Bancorp, Inc. |
10/19/95 |
|
Questions regarding this Notice should be directed to Mark A. Esposito, Nasdaq Market Services Director, Issuer Services, at (202) 496–2536. Questions pertaining to trade-reporting rules should be directed to Bernard Thompson, Assistant Director, NASD Market Surveillance, at (301) 590–6436.
