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TO: All NASD Members and Other Interested Persons
The NASD Board of Governors is concerned that some NASD members may not have sufficient time to comment on NASD proposals published in Notices to Members because the appropriate person in the firm does not receive the notices on a timely basis. The NASD normally provides a thirty-day period in which members and other interested persons can submit comments on proposed new rules or amendments to current rules.
TO: All NASD Members and Other Interested Persons
IMPORTANT REMINDER
ALL STATE, AGENT, AND BROKER-DEALER RENEWAL FEES MUST BE RECEIVED BY THE NASD NO LATER THAN DECEMBER 18, 1987, IF YOUR FIRM INTENDS TO CONTINUE DOING BUSINESS IN 1988. PLEASE NOTE THE FOLLOWING:
TO: All NASD Members and Level 2 and Level 3 Subscribers
The Securities and Exchange Commission has approved amendments to Schedule D to the NASD's By-Laws with respect to reporting trades in NASDAQ National Market System (NASDAQ/NMS) securities.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 5, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,052:
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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 30, 1988.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to Schedule E to the NASD By-Laws relating to the definition of a qualified independent underwriter. A qualified independent underwriter is required by Schedule E to establish the price and conduct due diligence in public offerings of securities of a member or an affiliate of a member.
TO: All NASD Members and Other Interested Persons
ATTN: Syndicate Department
LAST DATE FOR COMMENT: JANUARY 30, 1988.
EXECUTIVE SUMMARY
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 18, 1988. On January 18, 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.
Trade Date-Settlement Date Schedule For "Regular Way" Transactions
TO: All NASD Members and Other Interested Persons
ATTN: Operations Principal, Cashier
EXECUTIVE SUMMARY
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 19, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:
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