SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock Market™ will be closed on Friday, July 3, 1992 in observance of Independence Day. "Regular way" transactions made on the business days immediately preceding
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, May 25, 1992 in observance of Memorial Day. "Regular way" transactions made on the business days immediately preceding
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Good Friday, April 17, 1992. "Regular way" transactions made on the business days immediately preceding that day will be subject
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, February 17, 1992, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish
The 1 minute rule proposed would be very difficult for small broker dealers to keep, and would represent a major hurdle to our fixed income business. Most small broker dealers as is our case do not have a dedicate trading desk to handle this proposed new 1 minute rule, nor do they have the state of the art software that big firms may have access to. While compliance may be possible, this would
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
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, September 2, 1991, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to
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 Thursday, July 4, 1991, in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject
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, May 27, 1991, in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the
