SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 12, 1990, the following six issues joined Nasdaq/NMS, bringing the total number of issues to 2,587:
Symbol
Company
Entry Date
SOES Execution Level
CBEX
Cambex Corporation
11/20/90
1000
DEPLF
Deprenyl Research Limited
11/20/
SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on changes to the definition of "Executive Representative" that are intended to better assure proper communication with members on important matters.
DISCUSSION
The NASD is in the
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceOperationsSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Part i of Schedule D to the NASD By-Laws that provide new and separate fee structures for Nasdaq issuers. The new fees went into effect January 2, 1991.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved an amendment that adds a new section to Part I of Schedule C to the NASD By-Laws requiring members to provide notification in writing
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved service charges for SelectNetSM and the Small Order Execution System (SOES). The fees include a $25 monthly emergency market conditions service charge for each
SUGGESTED ROUTING:*
Senior ManagementOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has filed an amendment to Section 13 of Schedule A to the NASD By-Laws with the Securities and Exchange Commission relating to the NASD's service charge for reviewing advertisements, sales literature, and other similar material.
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 18, 1991, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
