Displaying 10181 - 10190 of 33964 Results
Notice To Members 94-42
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of April 27, 1994, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,610: Symbol Company Entry Date SOESSM Execution Level ADAX Applied Digital Access, Inc. 3/29/94 500 CMSH Cameron Ashley Inc. 3/29/94 500 CHPP Champps Entertainment, Inc. 3/29/94
Notice To Members 94-43
SUGGESTED ROUTING Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems As of April 29, 1994, the following bonds were added to the Fixed Income Pricing SystemSM: Symbol Name Coupon Maturity BYX.GA Bayou Steel Corp La Place 10.250 3/1/01 BRRY.GA Berry Plastics 12.250 4/15/04 CALL.GB NEXTEL Communications Inc. 9.750 8/15/04
Notice To Members 94-44
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining Executive Summary The Board of Governors, acting on the recommendation of a special Ad Hoc Committee, is clarifying the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to the investment advisory activities of registered representatives. This Notice describes those
Notice To Members 94-45
SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Syndicate Executive Summary On May 10, 1994, the Securities and Exchange Commission (SEC) approved amendments to Schedule E to the NASD By-Laws (Schedule E) that require compliance with its provisions if a member participating in a distribution of a public offering of debt or equity securities has a conflict
Notice To Members 94-46
SUGGESTED ROUTING Senior ManagementInstitutionalLegal & ComplianceOptionsTrading Executive Summary Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds
Notice To Members 94-47
SUGGESTED ROUTING Senior ManagementAdvertisingLegal & ComplianceMutual FundTradingTraining Executive Summary The NASD is publishing this Notice to inform members of the terms and conditions of a Securities and Exchange Commission (SEC) staff no-action letter recently issued to the Chubb Securities Corporation (the Chubb letter), which sets forth the SEC's policy on broker/
Notice To Members 94-48
SUGGESTED ROUTING Senior ManagementInstitutionalOptionsTrading Effective July 11, 1994, tier sizes for 500 Nasdaq National Market (NNM) securities will be revised in accordance with ¶2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). Under the revised SOES rules (see Special Notice to Members 94-1 January 5, 1994), the maximum order-execution
Notice To Members 94-49
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, July 4, 1994, in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below. Trade Date Settlement Date Reg. T Date* June 24
Notice To Members 94-50
SUGGESTED ROUTING Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems As of May 25, 1994, the following bonds were added to the Fixed Income Pricing System. These bonds are not subject to mandatory quotation: Coupon Symbol Name Maturity AKST.GA AK Steel 10.750 4/1/04 AMI.GG Amer Med Int'l 8.250 4/1/08 CCB.GA Coca Cola
Notice To Members 94-51
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653: Symbol Company Entry Date SOESSM Execution Level BUCK Buckhead America Corporation 4/28/94 200 MLXR MLX Corp. 4/28/94 200 ABCO American Buildings Company 4/29/94 500 BRKB