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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95-52 Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1995
| SUGGESTED ROUTING |
Senior Management
|
As of May 25, 1995, the following 47 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,781:
|
Symbol |
Company |
Entry Date |
SOES Execution Level |
|
REPS |
Republic Engineered Steels, Inc. |
4/28/95 |
500 |
|
PLSIA |
Premier Laser Systems, Inc. (Cl A) |
5/1/95 |
500 |
|
PLSIW |
Premier Laser Systems, Inc. (Cl A Wts 11/30/99) |
5/1/95 |
500 |
|
PLSIZ |
Premier Laser Systems, Inc. (Cl B Wts 11/30/99) |
5/1/95 |
500 |
|
PSIX |
Performance Systems International, Inc. |
5/2/95 |
500 |
|
TSXX |
TSX Corporation |
5/2/95 |
500 |
|
ANET |
ACT Networks, Inc. |
5/3/95 |
500 |
|
CRAA |
CRA Managed Care, Inc. |
5/3/95 |
1000 |
|
RSTOV |
Rose's Stores, Inc. (WI) |
5/3/95 |
200 |
|
FNBF |
FNB Financial Services Corp. |
5/4/95 |
200 |
|
FFOX |
Firefox Communications Inc. |
5/4/95 |
200 |
|
PGLD |
Phoenix Gold International, Inc. |
5/4/95 |
200 |
|
AGMIF |
Cominco Fertilizers, Ltd. |
5/5/95 |
500 |
|
STMD |
StorMedia Incorporated (Cl A) |
5/5/95 |
1000 |
|
USBN |
United Security Bancorporation |
5/5/95 |
200 |
|
NALF |
NAL Financial Group, Inc. |
5/8/95 |
200 |
|
VUPDA |
Video Update, Inc. (Cl A) |
5/8/95 |
200 |
|
VUPDW |
Video Update, Inc. (Cl A Wts 7/20/99) |
5/8/95 |
200 |
|
VUPDZ |
Video Update, Inc. (Cl B Wts 7/20/99) |
5/8/95 |
200 |
|
ACCUF |
Accugraph Corporation |
5/9/95 |
200 |
|
ALRIR |
Allergan Ligand Retinoid Therapeutics, Inc. |
5/9/95 |
200 |
|
GRDG |
Garden Ridge Corporation |
5/9/95 |
200 |
|
OSYS |
OccuSystems, Inc. |
5/9/95 |
500 |
|
CVBK |
Central Virginia Bankshares, Inc. |
5/10/95 |
200 |
|
LANPF |
Plaintree Systems, Inc. |
5/10/95 |
500 |
|
SVRNP |
Sovereign Bancorp, Inc. (Cum. Conv. Pfd Ser B) |
5/10/95 |
1000 |
|
ASBP |
ASB Financial Corp. |
5/11/95 |
200 |
|
BMLS |
Burke Mills, Inc. |
5/11/95 |
200 |
|
BIORF |
Biomira Inc. (Rts) |
5/12/95 |
200 |
|
PRNS |
Prins Recycling Corp. |
5/12/95 |
200 |
|
VCNBR |
Ventura County National Bancorp (Rts 6/21/95) |
5/15/95 |
200 |
|
AGAI |
AG Associates, Inc. |
5/16/95 |
500 |
|
MFSTP |
MFS Communications Company, Inc. (Dep. Shrs.) |
5/16/95 |
1000 |
|
ERDI |
ERD Waste Corp. |
5/17/95 |
1000 |
|
LTUS |
Garden Fresh Restaurant Corp. |
5/17/95 |
200 |
|
IKOSD |
IKOS Systems, Inc. (New) |
5/17/95 |
200 |
|
TRAV |
Intrav, Inc. |
5/18/95 |
500 |
|
OPAL |
Opal, Inc. |
5/18/95 |
200 |
|
BAANF |
Baan Company N.V. |
5/19/95 |
200 |
|
ODWA |
Odwalla, Inc. |
5/19/95 |
500 |
|
PIONA |
Pioneer Companies Inc. (Cl A) |
5/19/95 |
200 |
|
PHNXY |
Phoenix Shannon plc (ADR) |
5/22/95 |
200 |
|
UNMG |
The UniMark Group, Inc. |
5/22/95 |
200 |
|
UNMGW |
The UniMark Group, Inc. (Wts 8/12/99) |
5/22/95 |
200 |
|
HLIT |
Harmonic Lightwaves, Inc. |
5/23/95 |
500 |
|
INTE |
Interactive Group, Inc. |
5/23/95 |
200 |
|
SLCMC |
The Southland Corp. |
5/23/95 |
200 |
Nasdaq National Market Symbol And/Or Name Changes
The following changes to the list of Nasdaq National Market securities occurred since April 28, 1995:
|
New/Old Symbol |
New/Old Security |
Date Of Change |
|
EBCP/VFBK |
Eastern Bancorp, Inc./Eastern Bancorp, Inc. |
5/1/95 |
|
INSO/INSO |
INSO Corporation/InfoSoft International, Inc. |
5/1/95 |
|
FFPC/FFPC |
Florida First Bancorp, Inc./Florida First Federal Savings Bank |
5/2/95 |
|
GTOS/GTOS |
Gantos, Inc./Gantos, Inc. (New) |
5/3/95 |
|
GNPT/GNPT |
GreenPoint Financial Corp./GP Financial Corp. |
5/8/95 |
|
TUNE/TUNE |
DMX Inc./International Cablecasting Tech., Inc. |
5/8/95 |
|
HAND/HAND |
Handex Corp./Handex Environmental Recovery, Inc. |
5/9/95 |
|
TRFI/TRFI |
Trans Financial Inc./Trans Financial Bancorp Inc. |
5/10/95 |
|
HFSIW/CACSW |
Hospitality Franchise Systems, Inc. (Wts 8/10/98)/Casino & Credit Services, Inc. (Wts 8/10/98) |
5/11/95 |
|
FBAI/FBAI |
Foodbrands America, Inc./Doskocil Companies, Inc. |
5/17/95 |
|
FUND/FUND |
All Seasons Global Fund, Inc./America's All Season Fund, Inc. |
5/18/95 |
|
HAVA/HAVAB |
Harvard Industries, Inc. (Cl B)/Harvard Industries, Inc. (Cl B) |
5/18/95 |
|
KIDD/KIDD |
The First Years, Inc./Kiddie Products, Inc. |
5/19/95 |
|
ACOL/ACOL |
AMCOL International Corp./American Colloid Co. |
5/22/95 |
|
JEFF/SBNP |
JeffBanks, Inc./State Bancshares, Inc. |
5/22/95 |
Nasdaq National Market Deletions
|
Symbol |
Security |
Date |
|
CSPK |
Chesapeake Energy Corporation |
4/28/95 |
|
PACO |
Paco Pharmaceutical Services, Inc. |
4/28/95 |
|
INVS |
Investors Bank Corp. |
5/1/95 |
|
NREC |
NAC Re Corp. |
5/1/95 |
|
OLCC |
Olympus Capital Corp. |
5/1/95 |
|
RSTOQ |
Rose's Stores, Inc. |
5/1/95 |
|
RSTBQ |
Rose's Stores, Inc. (Cl B) |
5/1/95 |
|
CMBI |
Central Mortgage Bancshares, Inc. |
5/2/95 |
|
GOLD |
Goldenbanks of Colorado, Inc. |
5/2/95 |
|
PXREZ |
PXRE Corp. (Dep. Shrs.) |
5/2/95 |
|
KHGI |
Keystone Heritage Group, Inc. |
5/5/95 |
|
PBBUF |
Pacific Basin Bulk Shipping (Uts) |
5/5/95 |
|
SHUR |
Shurgard Storage Centers, Inc. |
5/5/95 |
|
SKYB |
SkyBox International Inc. |
5/5/95 |
|
BWSLE |
BioMedical Waste Systems, Inc. (Cl B Wts 6/4/96) |
5/11/95 |
|
CACS |
Casino & Credit Services, Inc. |
5/11/95 |
|
CCXLA |
Contel Cellular Inc. |
5/12/95 |
|
PARC |
Park Communications, Inc. |
5/12/95 |
|
BPIX |
Broadcasting Partners, Inc. (Cl A) |
5/15/95 |
|
ONCR |
Oncor, Inc. |
5/15/95 |
|
ZLOG |
Zilog, Inc. |
5/17/95 |
|
ENRGB |
DEKALB Energy Company (Cl B) |
5/18/95 |
|
FRMLQ |
Freymiller Trucking, Inc. |
5/19/95 |
|
GLYC |
Glycomed Incorporated |
5/19/95 |
|
WCTI |
WCT Communications, Inc. |
5/19/95 |
|
SCBC |
Security Capital Bancorp |
5/22/95 |
|
VICF |
Victoria Financial Corp. |
5/23/95 |
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.
