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TO: All NASD Members and Other Interested Persons
BACKGROUND
The Securities and Exchange Commission (SEC) has amended its customer protection rule (Rule 15c3-3) under the Securities Exchange Act of 1934, in connection with repurchase (repo) agreements with customers when the broker-dealer retains custody of any securities subject to these agreements.
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
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TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 15, 1987, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,046:
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TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD is publishing Suggested Escrow Agreement Provisions and Suggested Language for Selected Dealer Agreements to assist members and their counsel in complying with SEC Rule 15c2-4.
BACKGROUND AND SUMMARY
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
In Notice to Members 87-25, dated April 14, 1987, the NASD requested comments and suggestions on the concept of a rule that would restrict broker-dealers affiliated with issuers from making markets or trading in the securities of those issuers.
The NASD's request was the result of concerns as to whether conflicts of interest may exist or whether rule violations are more likely when broker-dealers engage in making markets or trading in securities issued by affiliates.
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1987. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking institutions will be closed in observance of Columbus Day.
Trade Date-Settlement Date Schedule For "Regular Way" Transactions
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
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TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the third quarter of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
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IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 13, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The proposed amendment would conform the NASD rule to that of the New York Stock Exchange.
The text of the proposed amendment is attached.
BACKGROUND