Document Mentions (3 shared documents)

EFTA01400729

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ttee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame. External Sources External Source http://www.nyse.com/pdfs/12-ARCA-3.pdf Copy

ss testimony is provided within required time frame. External Sources External Source http://www.nyse.com/pdfs/12-ARCA-3.pdf Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved. DB_scr_world_check https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrftknVISHeJizl... 11/14/2014 EFTA01400

EFTA01357670

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ittee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame. http ilvev.v; nyse corp/pdtsi12-ARCA-3 prif Copyright 1998.2010 Norkom Technol

from NYSE Arca membership unless testimony is provided within required time frame. http ilvev.v; nyse corp/pdtsi12-ARCA-3 prif Copyright 1998.2010 Norkom Technologies Ltd. All rights reserved. Ce_scr_worid_check https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrakn=VISHe.lizl... 11/14/2014 CONFIDEN

EFTA01357238

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