Notice To Members 88-40
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 1, 1988.
EXECUTIVE SUMMARY
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.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 1, 1988.
EXECUTIVE SUMMARY
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, July 4, 1988, 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 Level 2 and Level 3 Subscribers
On Tuesday, June 21, 1988, the following 14 issues are scheduled to join the NASDAQ National Market System (NASDAQ/NMS), bringing the total number of issues in NASDAQ/NMS to 2,954:
|
Symbol* |
Company |
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws, which will become effective June 30, 1988. The new rules significantly alter the obligations of NASDAQ market makers. Major changes to the rules:
|
ROUTE TO |
|
Senior Management |
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
|
ROUTE TO |
ROUTE TO |
|
Senior Management |
EXECUTIVE SUMMARY
|
ROUTE TO |
|
Senior Management |
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
|
ROUTE TO |
|
Senior Management |
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
|
ROUTE TO |
|
Senior Management |
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY