SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury) the NASD® provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." On
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments to NASD® Rule 8210 (formerly Article IV, Section 5 of the NASD Rules of Fair Practice) to require members and their associated persons to provide information in connection with investigations being conducted by other regulatory organizations and to NASD Rules 8210 and 8220 (formerly Article IV, Section 5 of
Comment Period Expires: October 31, 1996
Executive Summary
The NASD requests comment on proposed amendments to NASD® Rule 3010 (formerly NASD Rules of Fair Practice, Article III, Section 27) to adopt a rule requiring each member firm whose work force is comprised of a specified number of persons that have been associated with a disciplined firm, or each member firm that is itself a disciplined
SUGGESTED ROUTING
Senior Management
Registered Representatives
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
In Notice to Members 96-32, NASD
Regulation, Inc. (NASD Regulation)
informed the membership of its
Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
Executive Summary
Effective October 1, 1996, tier sizes for 591 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g) [formerly ¶ 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOES)].
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
Executive Summary
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 1996. On this day, The Nasdaq Stock Market, Inc., and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking institutions will be closed.
Trade Date
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Trading
Training
Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all
As of August 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
CQB.GH
Chiquita Brands Intl
10.25
11/01/06
KR.GJ
Kroger Co
8.15
7/15/06
SCR.GD
Sea Containers Ltd
10.5
7/1/03
GBPI.GA
Golden Books Publishing Inc
7.65
9/15/02
ORX.GI
Oryx Energy
8.375
7/15/04
