Notice To Members 84-11

TO: All NASD Members

ATTN: Operations Officer, Cashier, Fail-Control Department

On February 1, 1984, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm.

Members may use the "immediate close-out" procedures as provided in Section 59(1) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB Rule G-12 (h)(iv) provides that members may use the above procedures to close-out transactions in municipal securities.

Questions regarding the firm should be directed to:

Notice To Members 84-12

TO: All NASD Members and Other Interested Persons

Following is a list of NASD Notices to Members issued during the second quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.

Notice Number

Date

Topic

Notice To Members 84-14

TO: All NASD Members

ATTN: Operations Officer, Cashier, Fail-Control Department

On February 13, 1984, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on January 31, 1984.

Notice To Members 84-15

TO: All NASD Members and Level 2 and Level 3 Subscribers

On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.

The 50 securities scheduled to join NMS on March 20 are:

SYMBOL

Notice To Members 84-17

IMPORTANT

OFFICERS, PARTNERS AND PROPRIETORS

TO: All NASD Members and Interested Persons

LAST VOTING DATE IS APRIL 13, 1984

Attached is a proposed amendment to Article V, Section 1 of the Association's Rules of Fair Practice which has been approved by the Board of Governors for submission to the membership for a vote.

Notice To Members 84-18

TO: All NASD Members and Municipal Securities Bank Dealers

ATTN: All Operations Personnel

Securities markets and the NASDAQ System will be closed on Good Friday, April 20, 1984. "Regular Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.

Trade Date-Settlement Date Schedule For "Regular-Way" Transactions

Trade Date

Notice To Members 84-19

TO: All NASD Members

ATTN: Operations Officer, Cashier, Fail-Control Department

On March 14, 1984, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above captioned firm.

Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB Rule G-12(h)(iv) provides that members may use the above procedures to close-out transactions in municipal securities.

Questions regarding the firm should be directed to:

Subscribe to