Displaying 2091 - 2100 of 2996 Results
Notice To Members 90-33
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, May 28, 1990 in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the
Notice To Members 90-24
SUGGESTED ROUTING* Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Good Friday, April 13, 1990. "Regular way" transactions made on the preceding
Notice To Members 90-7
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, February 19, 1990, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
Notice To Members 89-60
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, September 4, 1989, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to
Notice To Members 83-41
TO: All NASD Members and Other Interested Persons SUMMARY Recently, in response to a request by the Association, the staff of the SEC's Division of Market Regulation issued a no-action letter concerning 17 C.F.R. 240.15c3-l (the "net capital rule") and 17 C.F.R. 240.15c3-3 (the "customer protection rule"). The letter provides, until December 31, 1983, a temporary
Notice To Members 89-45
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Tuesday, July 4, 1989, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be subject to
Notice To Members 89-42
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed Monday, May 29, 1989, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be subject to the
Filing a Claim FAQ
En EspanolHow long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file
Notice To Members 88-59
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTraining *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, September 5, 1988, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule
Notice To Members 88-41
TO: All NASD Members and Municipal Securities Bank Dealers FROM: All Operations Personnel Securities markets and the NASDAQ System will be closed on Monday, July 4, 1988, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular Way"