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;
| View Whole Section | Text only | Print Manager | Link |
95-57 Nasdaq National Market Additions, Changes, And Deletions As Of June 27, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of June 27, 1995, the following 57 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,804:
|
Symbol |
Company |
Entry Date |
SOES Execution Level |
|
IBNJ |
Independence Bancorp, Inc. |
5/26/95 |
200 |
|
NINE |
Number Nine Visual Technology Corp. |
5/26/95 |
500 |
|
CLCX |
Computer Learning Centers, Inc. |
5/31/95 |
200 |
|
JRBK |
James River Bankshares, Inc. |
6/1/95 |
200 |
|
BHIX |
Belmont Homes, Inc. |
6/1/95 |
500 |
|
FEIC |
FEI Company |
6/1/95 |
500 |
|
MURXF |
International Murex Technologies Corp. |
6/1/95 |
1000 |
|
RESM |
ResMed, Inc. |
6/2/95 |
500 |
|
USOR |
US Order, Inc. |
6/2/95 |
500 |
|
ALRZV |
Allergan Ligand Retinoid Therapeutics, Inc. |
6/5/95 |
200 |
|
GFIN |
Game Financial Corp. |
6/6/95 |
200 |
|
SDNBR |
SDNB Financial Corp. (Rts Exp. 7/7/95) |
6/6/95 |
200 |
|
ARCS |
ArcSys, Inc. |
6/7/95 |
1000 |
|
LFIIF |
Laser Friendly Inc. |
6/7/95 |
200 |
|
ENVYV |
New Envoy, Inc. (WI) |
6/7/95 |
1000 |
|
SBGI |
Sinclair Broadcast Group, Inc. |
6/7/95 |
1000 |
|
ORVX |
OraVax, Inc. |
6/8/95 |
500 |
|
SITL |
SITEL Corporation |
6/8/95 |
500 |
|
AMRD |
American Radio Systems Corp. (Cl A) |
6/9/95 |
1000 |
|
NYNCY |
NYNEX CableComms Group, Plc (ADR) |
6/9/95 |
500 |
|
TLTN |
Teltrend Inc. |
6/9/95 |
200 |
|
YANB |
Yardville National Bancorp |
6/9/95 |
200 |
|
GFCO |
Glenway Financial Corporation |
6/12/95 |
200 |
|
LASE |
LaserSight Incorporated |
6/12/95 |
500 |
|
MAENF |
Miramar Mining Corp. |
6/12/95 |
1000 |
|
AORI |
American Oncology Resources, Inc. |
6/13/95 |
1000 |
|
ECTL |
Elcotel, Inc. |
6/13/95 |
200 |
|
LECO |
Lincoln Electric Co. (The) |
6/13/95 |
200 |
|
LECOA |
Lincoln Electric Co. (The) (CL A) |
6/13/95 |
200 |
|
MXSBP |
Maxus Energy Corp. ($4.00 Cum. Conv. Pfd) |
6/13/95 |
200 |
|
UCFCP |
United Companies Financial Corp. (Pfd) |
6/13/95 |
1000 |
|
TXCC |
TranSwitch Corp. |
6/14/95 |
500 |
|
WPEC |
Western Power & Equipment Corp. |
6/14/95 |
200 |
|
DLGX |
Datalogix International Inc. |
6/15/95 |
1000 |
|
MYSW |
MySoftware Company |
6/15/95 |
200 |
|
SERO |
Serologicals Corp. |
6/15/95 |
500 |
|
CHML |
Chicago Miniature Lamp, Inc. |
6/16/95 |
200 |
|
EGPT |
Eagle Point Software Corporation |
6/16/95 |
200 |
|
CRMLF |
Champion Road Machinery, Ltd. |
6/19/95 |
200 |
|
USDCR |
USDATA Corporation (Rts) |
6/19/95 |
200 |
|
USDCV |
USDATA Corporation (WI) |
6/19/95 |
200 |
|
BIOC |
Biocircuits Corp. |
6/19/95 |
1000 |
|
BWAY |
Brockway Standard Holdings Corp. |
6/21/95 |
200 |
|
CPCL |
C.P. Clare Corp. |
6/21/95 |
1000 |
|
DISH |
EchoStar Communications Corp. |
6/21/95 |
1000 |
|
HNCS |
HNC Software, Inc. |
6/21/95 |
500 |
|
SPHI |
Studio Plus Hotels, Inc. |
6/21/95 |
1000 |
|
VIDA |
VidaMed, Inc. |
6/21/95 |
200 |
|
SPYN |
Spine-Tech, Inc. |
6/23/95 |
1000 |
|
HWYM |
HighwayMaster Communications, Inc. |
6/23/95 |
1000 |
|
DANBV |
Dave & Buster's, Inc.(WI) |
6/26/95 |
200 |
|
CBMD |
Columbia Bancorp |
6/27/95 |
200 |
|
FWSH |
First Washington Realty Trust, Inc. |
6/27/95 |
200 |
|
FWSHP |
First Washington Realty Trust, Inc.(Ser A Pfd) |
6/27/95 |
200 |
|
MRET |
Merit Holding Corp. |
6/27/95 |
200 |
|
RMRPP |
Resource Mortgage Capital, Inc.(Ser A Conv Pfd) |
6/27/95 |
1000 |
|
SPYG |
Spyglass, Inc. |
6/27/95 |
200 |
Nasdaq National Market Symbol And/Or Name Changes
The following changes to the list of Nasdaq National Market securities occurred since May 26, 1995:
|
New/Old Symbol |
New/Old Security |
Date of Change |
|
CDPT/CDPT |
Ovid Technologies, Inc./CDP Technologies, Inc. |
5/26/95 |
|
WCOM/LDDS |
WorldCom, Inc./LDDS Communications, Inc. |
5/26/95 |
|
NBTY/NBTY |
NBTY, Inc./Nature's Bounty, Inc. |
5/26/95 |
|
AGMIF/AGMIF |
Agrium, Inc./Cominco Fertilizers, Ltd. |
5/30/95 |
|
FFRV/FFRV |
Fidelity Financial Bankshares Corporation/Fidelity Federal Savings Bank |
5/30/95 |
|
PTREF/PTREF |
PartnerRe Ltd./PartnerRe Holdings Ltd. |
5/30/95 |
|
RUSAF/FILAF |
Russell Metals, Inc. (Conv. Cl A)/Federal Industries, Ltd.(Conv. Cl A) |
5/31/95 |
|
FUND/FUND |
All Seasons Global Fund, Inc./America's All Season Fund, Inc. |
6/1/95 |
|
ORCL/ORCL |
Oracle Corporation/Oracle Systems Corp. |
6/1/95 |
|
OVID/CDPT |
Ovid Technologies, Inc./Ovid Technologies, Inc. |
6/1/95 |
|
TRCR/TRCR |
Transcend Services, Inc./TriCare, Inc. |
6/1/95 |
|
UNEWY/UNEWY |
United News & Media, Plc/United Newspaper, Plc |
6/1/95 |
|
GABC/GABC |
German American Bancorp/GAB Bancorp |
6/6/95 |
|
CYNRW/CYNRW |
Canyon Resources Corporation (Wts 9/30/95)/Canyon Resources Corporation (Wts 6/30/95) |
6/7/95 |
|
INTFW/INTFW |
Interface Systems, Inc. (Wts 12/29/95)/Interface Systems, Inc. (Wts 6/30/95) |
6/14/95 |
|
KRSC/KRSC |
Kaiser Ventures, Inc./Kaiser Resources, Inc. |
6/21/95 |
|
WFSB/WFSB |
1st Washington Bancorp, Inc./Washington Federal Savings Bank |
6/22/95 |
|
BHWKW/BHWKW |
Black Hawk Gam & Dev Co Inc (Wts A 12/31/96)/Black Hawk Gam & Dev Co Inc (Wts A 6/30/95) |
6/23/95 |
|
BHWKZ/BHWKZ |
Black Hawk Gam & Dev Co Inc (Wts B 12/31/96)/Black Hawk Gam & Dev Co Inc (Wts B 6/30/96) |
6/23/95 |
|
IPICZ/IPICZ |
Interneuron Pharmaceuticals (Wts B 3/15/96)/Interneuron Pharmaceuticals (Wts B 6/30/95) |
6/26/95 |
|
SEQU/LTIZ |
SEQUUS Pharmaceuticals, Inc./Liposome Technology, Inc. |
6/26/95 |
Nasdaq National Market Deletions
|
Symbol |
Security |
Date |
|
NDCOP |
Noble Drilling Corp. (Conv. Exch. Pfd) |
5/26/95 |
|
VIRO |
ViroGroup, Inc. |
5/26/95 |
|
LDAKZ |
LIDAK Pharmaceuticals (Wts C 5/26/95) |
5/30/95 |
|
GLDN |
Golden Systems, Inc. |
5/31/95 |
|
ITRN |
Intertrans Corporation |
5/31/95 |
|
ACTNW |
Action Performance Companies, Inc. (Wts 4/27/98) |
6/1/95 |
|
CGFC |
Coral Gables Fedcorp, Inc. |
6/1/95 |
|
IRDVE |
Int'l Research & Development Corp. |
6/1/95 |
|
PTSF |
Petstuff, Inc. |
6/2/95 |
|
FSOU |
First Southern Bancorp, Inc. |
6/5/95 |
|
NUVI |
NuVision, Inc. |
6/5/95 |
|
ALRIR |
Allergan Ligand Retinoid Therapeutics, Inc. (Rts) |
6/6/95 |
|
BIORF |
Biomira, Inc. (Rts) |
6/8/95 |
|
STUSQ |
Stuarts Department Stores, Inc. |
6/8/95 |
|
FLAR |
Flair Corp. |
6/9/95 |
|
XPLR |
Xplor Corporation |
6/9/95 |
|
BPIEL |
BPI Packaging Technologies, Inc. (Wts A 6/16/95) |
6/14/95 |
|
BPTI |
Best Power Technology, Inc. |
6/15/95 |
|
EASL |
Easel Corporation |
6/15/95 |
|
UNRIW |
UNR Industries, Inc. (Wts 6/14/95) |
6/15/95 |
|
ADDDF |
Alias Research, Inc. |
6/16/95 |
|
WAVE |
Wavefront Technologies, Inc. |
6/16/95 |
|
TNEL |
Thomas Nelson, Inc. |
6/19/95 |
|
HCCH |
HCC Insurance Holdings, Inc. |
6/20/95 |
|
OSHM |
Oshman's Sporting Goods, Inc. |
6/21/95 |
|
STAF |
CareerStaff Unlimited, Inc. |
6/22/95 |
|
CTEKE |
ChinaTek, Inc. |
6/22/95 |
|
ELPAQ |
El Paso Electric Co. |
6/22/95 |
|
TBAQE |
Gotham Apparel Corp. |
6/22/95 |
|
INFTA |
Infinity Broadcasting Corp. (Cl A) |
6/22/95 |
|
INNN |
Interactive Network, Inc. |
6/22/95 |
|
VCNBR |
Ventura County National Bancorp (Rts 6/21/95) |
6/22/95 |
|
ALGH |
Allegheny & Western Energy Corp. |
6/23/95 |
|
PHTX |
Photonics Corp. |
6/23/95 |
Questions regarding this Notice should be directed to Mark A. Esposito, Nasdaq Market Services Director, Issuer Services, at (202) 728-6966. Questions pertaining to trade-reporting rules should be directed to Bernard Thompson, Assistant Director, NASD Market Surveillance, at (301) 590-6436.
