Notice To Members 83-54
TO: All NASD Members and Level 2 and Level 3 Subscribers
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
TO: All NASD Members and Level 2 and Level 3 Subscribers
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
TO: All NASD Members and Other Interested Persons
Under the provisions of the NASD fidelity bonding rule (Article III, Section 32, NASD Rules of Fair Practice) all members who are required to be members of the Securities Investor Protection Corporation and who have employees must carry a fidelity bond.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
"Regular-Way" transactions made on Tuesday, November 8, Election Day; and Friday, November 11, Veterans Day, and the days immediately preceding these days will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity. While the NASDAQ System and other securities markets will be open on these days, many banking institutions will be closed.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
TO: All NASD Members and NASDAQ Subscribers
TO: All NASD Members and NASDAQ Subscribers
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 49 issues will voluntarily join the NASDAQ National Market System on Tuesday, November 22, bringing the total number of NMS securities to 635. These 49 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 49 issues scheduled to join NMS on Tuesday, November 22, are:
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 24, Thanksgiving Day; Monday, December 26, Christmas Day Observance; and Monday, January 2, 1984, New Year's Day Observance. "Regular Way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
TO: Selected NASD Members
Under the AT & T divestiture program, for every ten shares of existing ("old") AT & T owned, shareholders of record December 30, 1983 will receive one share in each of seven newly-formed regional holding companies, while continuing to own ten shares of divested ("new") AT & T as well.
TO: All NASD Members and Interested Persons
Listed below is the NASD's 1984 schedule of holidays.
January 2 (Monday) |
New Year's Day Observed |
February 20 (Monday) |
Washington's Birthday Observed |
April 20 (Friday) |
Good Friday |