SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 24, 1997, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
SMB.GA
Smith Barney Hldgs Inc New
6.625
6/1/00
PHN.GA
Phonetel Technologies Inc
12.000
12/
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of August 25, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
NAE.GA
NorAm Energy
7.500
8/1/00
HRVD.GB
Harvard Indus
11.125
8/
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Operations
Systems
Trading
The NASD will observe the following holiday schedule for 1997:
January 1
New Year's Day
February 17
Presidents' Day
March 28
Good Friday
May 26
Memorial Day
July 4
Independence Day
September 1
Labor Day
November 27
Thanksgiving Day
December 25
Christmas Day
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1995:
January 2
New Year's Day (observance)
February 20
President's Day
April 14
Good Friday
May 29
Memorial Day
July 4
Independence Day
September 4
Labor Day
November 23
Thanksgiving Day
December 25
Christmas
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of March 15, 1990, the following 20 issues joined NASDAQ/NMS, bringing the total number of issues to 2,667:
Symbol
Company
Entry date
SOES Execution Level
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
