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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 21, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws. In pertinent part, the proposed rule amendments would:
TO: All NASD Members and Other Interested Persons
Listed below is the NASD's 1988 schedule of holidays.
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January 1 (Friday) |
New Year's Day |
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February 15 (Monday) |
Washington's Birthday Observed |
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April 1 (Friday) |
Good Friday |
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 24, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed new By-Law that would permit the NASD to require trade comparison reporting by members conducting' an inter-dealer OTC securities business, as intended when the Trade Acceptance and Reconciliation Service (TARS) began development in 1981.
The text of the proposed new By-Law is attached.
BACKGROUND
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 1, 1987, the following 2 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,068:
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Symbol* |
Company |
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 15, 1987, the following 5 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,066:
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Symbol* |
Company |
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, December 25, 1987, Christmas Day, and Friday, January 1, 1988, New Year's Day. "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
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Trade Date |
TO: All NASD Members and Other Interested Persons
The NASD Board of Governors is concerned that some NASD members may not have sufficient time to comment on NASD proposals published in Notices to Members because the appropriate person in the firm does not receive the notices on a timely basis. The NASD normally provides a thirty-day period in which members and other interested persons can submit comments on proposed new rules or amendments to current rules.
TO: All NASD Members and Other Interested Persons
IMPORTANT REMINDER
ALL STATE, AGENT, AND BROKER-DEALER RENEWAL FEES MUST BE RECEIVED BY THE NASD NO LATER THAN DECEMBER 18, 1987, IF YOUR FIRM INTENDS TO CONTINUE DOING BUSINESS IN 1988. PLEASE NOTE THE FOLLOWING:
TO: All NASD Members and Level 2 and Level 3 Subscribers
The Securities and Exchange Commission has approved amendments to Schedule D to the NASD's By-Laws with respect to reporting trades in NASDAQ National Market System (NASDAQ/NMS) securities.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 5, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,052:
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Symbol* |
Company |