SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective January 1, 1998, tier sizes for 544 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
SUGGESTED ROUTING
Senior Management
Corporate Finance
Internal Audit
Legal & Compliance
Syndicate
Executive Summary
NASD Regulation, Inc., reminds members of their obligations under the Free-Riding and Withholding Interpretation (IM-2110-1) with respect to venture capitalists and the cancellation safe harbor provisions. This information was previously provided to
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
Comment Period Expires January 31, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, January 19, 1998, in observance of Martin Luther King, Jr., Day. "Regular way" transactions
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
