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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 26, 1986
The amended NASD Rules of Fair Practice, proposed by the NASD's Ad Hoc Committee on Rule and By-Law Amendments, which reviews and revises the NASD's By-Laws, rules and interpretations, are attached for comment by members and other interested persons.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 18, 1986, 22 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,246. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 22 issues scheduled to join NASDAQ/NMS on Tuesday, February 18, 1986, are:
TO: All NASD Members and Other Interested Persons
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 23, 1986
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 4, 1986, 14 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,259. These 14 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 14 issues scheduled to join NASDAQ/NMS on Tuesday, March 4, 1986, are:
TO: All NASD Members and Other Interested Persons
TO: All NASD Members and Other Interested Persons
On March 17, 1986, several amendments to SEC Rule 10b-10, the customer confirmation rule, will become effective. The amendments will require broker-dealers to report on customer confirmations trade prices and mark-ups and mark-downs in principal transactions in reported securities. "Reported securities" include NASDAQ National Market System (NASDAQ/NMS) securities and listed securities meeting New York or American Stock Exchange listing requirements.
PREVIOUS REQUIREMENTS
TO: All NASD Members and Other Interested Persons
ATTN: Training Directors and Registration Personnel
The purpose of this notice is twofold:
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 18, 1986, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,277. These 20 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 20 issues scheduled to join NASDAQ/NMS on Tuesday, March 18, 1986, are:
TO: All NASD Members and Other Interested Persons
The Department of the Treasury is amending Form 4789, the Currency Transaction Report, which is used by broker-dealers to report cash transactions of more than $10,000, as required by SEC Rule 17a-8 and the Currency and Foreign Transactions Reporting Act of 1970.
The new form becomes effective on July 1, 1986.
BACKGROUND