Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesLegal & Compliance
Executive Summary
On January 27, 1993, the Securities and Exchange Commission (SEC) approved the NASD's Collateralized Mortgage Obligations Advertising Guidelines (Guidelines). The Guidelines provide a framework for members to assess the accuracy and appropriateness of Collateralized Mortgage
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceSyndicate
Executive Summary
The NASD is reminding members that Section 66 of the NASD Uniform Practice Code (UPC) requires syndicate managers to settle syndicate accounts within 90 days of the syndicate settlement date. Members are, therefore, reminded to mail or, where appropriate, deliver checks to syndicate participants
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceSyndicate
Executive Summary
The NASD and five other securities industry self-regulatory organizations (SROs) have agreed to develop a single continuing education program for all securities industry registered representatives and principals. Furthermore, the NASD has agreed to remain flexible over the question of whether an
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 9, 1993. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
April 1
8
13
2
12
14
5
13
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of February 22, 1993, the following 44 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,998:
Symbol
Company
Entry Date
SOES Execution Level
PHSV
Physicians Health Svcs, Inc. (Cl A)
1/22/93
1000
CEGE
Cell Genesys, Inc.
1/26/93
500
BSRF
BioSurface Technology, Inc.
1/27/93
SUGGESTED ROUTING
Senior Management
Internal Audit
Operations
Systems
Executive Summary
On February 24, 1993, the Securities and Exchange Commission (SEC) approved the NASD's new margin rules. The rules conform the NASD's margin rules to those of the New York Stock Exchange (NYSE) by replacing the current provisions of Article III,
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On February 26, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D that require members to append a fifth-character location indicator to their market-maker identification symbol (MMID) in securities that are traded at a location away from the primary
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On March 22, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D, and Schedule G, to the By-Laws and to the Rules of Practice and Procedure for the Automated Confirmation Transaction (ACT) service rules to require members to input the time of execution on
