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 Other Interested Persons
LAST DATE FOR COMMENT: APRIL 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 35 of the NASD Rules of Fair Practice. The amendment would require advertising and sales literature for registered investment company securities to be filed by members with the NASD Advertising Department within 10 days of first use or publication.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1988. "Regular way" transactions made on the business days immediately preceding that day will be subject to the following schedule:
Trade Date-Settlement Date Schedule For "Regular Way" Transactions
|
Trade Date |
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 15, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,996:
|
Symbol* |
Company |
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On March 21, 1988, the United States District Court for the Eastern District of Wisconsin appointed a SIPC Trustee for the above member.
Members may use the "immediate close out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts.
Questions regarding the firm should be directed to:
SIPC Trustee
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 5, 1988, the following thirteen issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
|
Symbol* |
Company |
April 12, 1988
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 12, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix A to Article III, Section 30 of the NASD Rules of Fair Practice (Appendix A), which contains the NASD's margin maintenance rules. The proposed amendments will update the NASD's margin maintenance rules to be more responsive to current market and risk concerns.
The text of the proposed amendments is attached.
BACKGROUND
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 19, 1988, the following 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,994:
|
Symbol* |
Company |
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the first quarter of 1988. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed tos NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
|
Notice Number |
Date |
Topic |
TO; All NASD Members
LAST VOTING DATE IS MAY 28, 1988
EXECUTIVE SUMMARY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 3, 1988, the following two issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,976:
|
Symbol* |
Company |
Location |