TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
84-21
April 3, 1984
Adoption of a New Rule of
SUGGESTED ROUTING*
Corporate Finance
Institutional
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System
Public investments should be available to all of the public not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities. Everyone knows there is a risk with investments. We don't need these measures imposed on us. Please realize people need to do what is best for them without laws imposing upon our rights.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsSystems
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-l, effective June 1, 1995, establishes three business days as the standard settlement time frame for most securities transactions. Although municipal securities currently are exempt from the rule, the SEC has requested the Municipal
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
INFORMATIONAL
TRACE Fees
The fee changes are effective as of October 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Operations
Senior Management
Rule 7010(k)
TRACE Fees
Rule 6200 Series
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 1501, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALWA.GA
Alamosa Delaware Inc
12.500
02/01/11
AMR
Investor trust and confidence have plummeted to historic lows. But if there is a silver lining amidst these dark clouds, it is that the turmoil creates an opportunity to “fix the plumbing” of the U.S., and global, regulatory architecture – patching the leaks, but also modernizing the piping in such a way to promote market stability and investor confidence, and lay the groundwork for renewed growth and stability.
Preliminary Note: FINRA recently adopted enhanced confirmation disclosure requirements for corporate and agency bonds.
