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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 5, 1987, 19 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,869. These 19 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 19 issues scheduled to join NASDAQ/NMS on Tuesday, May 5, 1987, are:
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, May 25, 1987, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular Way" Transactions
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Trade Date |
TO: All NASD Members
All Level 2 and Level 3 Subscribers
Other Interested Persons
EXECUTIVE SUMMARY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 19, 1987, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,893. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 21 issues scheduled to join NASDAQ/NMS on Tuesday, May 19, 1987, are:
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD wishes to apprise its members of the SEC's recent release relating to mark-ups on zero-coupon securities. The SEC has become aware of potential abuses in this area and emphasizes that applicable provisions of the federal securities laws, NASD rules, and MSRB rules apply equally to zero-coupon securities. The SEC cautions broker-dealers to establish mark-ups in these securities based upon their face value rather than taking into account the discount at which such securities are sold.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 30, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule D to the NASD By-Laws that would make an issuer ineligible for initial or continued inclusion in the NASDAQ System if it issues securities or takes corporate action that would have the effect of nullifying, restricting, or disparately reducing voting rights of holders of an outstanding class or classes of common stock.
The text of the proposed amendment is attached.
TO: All NASD Members and Other Interested Persons
ATTN: All Chief Executive Officers, Compliance Officers, and Registration Managers
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 providing for regulation of government securities activities by brokers and dealers. This legislation created new Section 15 C under the Securities Exchange Act of 1934 (Act), which necessitated revisions to Form BD and Form U-4 to accommodate this new area of regulatory jurisdiction.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 16, 1987, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,940. These 23 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 23 issues scheduled to join NASDAQ/NMS on Tuesday, June 16, 1987, are:
TO: All NASD Members and Other Interested Persons
FROM: Options Committee of the NASD Board of Governors