The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 19, 1996, in observance of Presidents' Day, "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Feb. 12
Feb. 15
Feb. 20
13
16
21
14
20
22
15
21
23
16
22
26
19
Markets Closed
—
20
23
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market, Inc., and the securities exchanges will be closed on Monday, May 26, 1997, in observance of Memorial Day. "Regular way" transactions made on the business days
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt rules relating to a new Trade Reporting Facility (the "NASD/NSX TRF") to be established by NASD, in conjunction with the National Stock Exchange ("NSX"), that would provide members another mechanism for reporting trades in Nasdaq-listed equity
NASD has filed with the SEC a proposed rule change to amend NASD Interpretative Material 9216 ("IM-9216") to expand the list of violations eligible for disposition under NASD's Minor Rule Violation Plan ("MRVP") to include failure to timely submit amendments to the Form U5, as required by Article V, Section 3(a) of the NASD By-Laws.
NASDR has filed with the SEC a proposed rule change to amend Rule 1022 of the National Association of Securities Dealers, Inc. to require the registration of chief compliance officers.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to (i) amend Rule 7010(k)(3)(A)(i) to offer an optional enterprise-based flat fee for the internal display of real-time TRACE transaction data ("
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a Notice to Members reminding members of their obligation under just and equitable principles of trade and advertising rules to disclose to customers the material risks of extended hours trading.
NASD has filed with the SEC a proposed rule change to prohibit a member from trading ahead of a customer market order and to require the crossing of customer market orders, if the customer market order has not been executed fully and promptly.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Presidents' Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Monday, February 17, 1997, in observance of Presidents' Day, "Regular way" transactions made on the
