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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 2, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
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TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc., is relocating its New York staff from its current World Trade Center location to new offices. The new address is:
NASD Financial Center
33 Whitehall Street
New York, New York 10004
Telephone Number: (212) 858-4000
The relocation will be accomplished in stages as follows:
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February 8 |
NASD District 12 |
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 1, 1988.
EXECUTIVE SUMMARY
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 15, 1988, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below. The NASDAQ System and the banks in New York State will be open on February 12, 1988, Lincoln's Birthday.
Trade Date-Settlement Date Schedule For "Regular Way" Transactions
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 16, 1988, the following nine issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,030:
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TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD has adopted an arbitration filing fee and advertising service charge that will be imposed on certain arbitration Submission Agreements, advertisements, sales literature, and other such material received by the NASD on and after February 22, 1988.
TO: All NASD Members and Other Interested Persons
The NASD has amended Section 12 of Schedule A to the NASD By-Laws to increase to $1,000 the application fee imposed on a member firm that files an application seeking approval to employ or to continue to employ as an associated person an individual who is subject to a disqualification as set forth in Article II, Section 4 of the NASD By-Laws.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 1, 1988, the following six issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,004:
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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 31, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Rules of Fair Practice that would generally prohibit members from accepting non-cash sales compensation in connection with the distribution of investment company and variable contract products.
TO: All NASD Members and Other Interested Persons
On February 8, 1988, the NASD published Notice to Members 88-11 requesting comment on proposed amendments to Article III, Section 27 of the NASD Rules of Fair Practice. These amendments would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction" and "branch office." Comments were requested to be submitted no later than March 1, 1988.