For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, July 3, 1987, in observance of Independence 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
|
Trade Date |
TO: All NASD Members and Other Interested Persons
Existing Limited Representative Examinations
Products Covered in Proposed Corporate Securities United Representative Examinations
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JULY 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The amendment would conform the NASD rule to that of the New York Stock Exchange.
The text of the proposed amendment is attached.
BACKGROUND
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 14, 1987.
EXECUTIVE SUMMARY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 7, 1987, 29 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,972. These 29 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 29 issues scheduled to Join NASDAQ/NMS on Tuesday, July 7, 1987,
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
This notice announces adoption of an amendment to Article HI, Section 35 of the NASD Rules of Fair Practice. The amendment was adopted by the NASD Board of Governors in response to the use by certain members of misleading advertising and improper sales literature in the marketing of public direct participation programs.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS AUGUST 6, 1987.
EXECUTIVE SUMMARY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 21, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,993. 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, July 21, 1987, are:
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule C to the By-Laws that would establish a new level of registration — below the level of "Representative" — for persons in member firms whose activities are limited to providing current securities quotations and accepting unsolicited customer orders and unsolicited new accounts.
The text of the proposed amendment is attached.
BACKGROUND