Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 11Ac1-5 ("Rule"), which requires "market centers" that trade national market system securities to make available standardized, monthly reports containing statistical information about "covered order" executions. The Rule is intended to promote visibility
SR-FINRA-2008-059 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
Heather Seidel is Chief Counsel in the Office of Regulatory Economics and Market Analysis. In this capacity, Ms. Seidel serves as a member of the leadership team, advising on policy formation and providing expert interpretative guidance on regulatory, policy and legal matters. She also works in partnership with colleagues in the Regulatory Operations departments, the Office of General Counsel and
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) from the Midwest and South Regions. The nominees, nominated for a
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of May 25, 1995, the following 47 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,781:
Symbol
Company
Entry Date
SOES Execution Level
REPS
Republic Engineered Steels, Inc.
4/28/95
500
PLSIA
Premier Laser
Comment Period Expires January 17, 1995
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInternal AuditLegal & Compliance
Executive Summary
The Department of the Treasury (Treasury) is publishing for comment proposed amendments under the Government Securities Act of 1986 (GSA). The amendments would establish risk assessment rules for government securities broker/dealers
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed amendment to Schedule C to the By-Laws that would
