SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Training
The National Association of Securities Dealers, Inc. (NASD®) will observe the following holiday schedule for 1999:
January 1
New Years Day
January 18
Birthday of Martin Luther King, Jr.(Observed)
February 15
Presidents Day
April 2
Good Friday
May
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Training
Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Training
Executive Summary
This Notice reminds National Association of Securities Dealers, Inc. (NASD®) members of their obligation to ensure that discussions concerning fees and expenses in mutual fund advertisements and sales literature as defined in NASD Rule 2210(a) are
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
As published in NASD Notice to Members 98-77 (September), Article IV, Section 3 of the National Association of Securities Dealers, Inc. ( NASD®) By-Laws has been amended. This By-Law change, which takes effect January 1, 1999,
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
