SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule
Executive Summary
The NASD announces revisions to the NASD Sanction Guidelines (Guidelines). The Guidelines were published for the first time in May 1993 so that members could become more familiar with the more typical securities industry violations that occur and the disciplinary sanctions that may result. The revisions to the Guidelines reflect recent developments in disciplinary sanctions
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 27, 1996, in observance of Memorial 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 *
May 21
May 24
May 29
22
28
30
23
29
31
24
30
June 3
27
Markets Closed
—
28
31
4
* Pursuant
As of March 22, 1996, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,051:
Symbol
Company
Entry Date
SOES Execution Level
CMCO
Columbus McKinnon Corp.
2/23/96
200
CYAN
As of March 29, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
TLMD.GB
Telemundo Group Inc
7
2/15/96
DOPD.GA
Doane Products Company
10.625
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Executive Summary
In recent months, NASD Regulation, Inc., has observed instances of sharp price changes and increases in trading activity in stocks of low-priced companies. In response, NASD Regulation is issuing this Special Notice to Members to emphasize to its members their obligations to customers,
NASD Clarifies Rules
Governing RR/IAs
Suggested Routing
Senior Management
Internal Audit
Legal & Compliance
Registration
Training
Executive Summary
On May 15, 1994, the NASD® issued Special Notice to Members 94-44, , which clarified the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to investment advisory activities of registered representatives (
As of April 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
DOMT
Dominion Textile USA Inc
9.25
4/01/2006
BORN.GA
Borden Inc
8.375
Last Voting Date: June 22, 1996
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) invites members to vote to approve amendments to the NASD By-Laws that continue the restructuring necessary to implement the principles articulated in the September 1995 Report of the Select Committee on Structure and Governance (Select Committee) and make the By-Laws consistent with
