TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 22, 1986
The National Association of Securities Dealers, Inc. (NASD), has approved proposed amendments to Schedule E to the NASD By-Laws that are intended to clarify the scope and application of the schedule. Schedule E contains various requirements applicable to the public offering of a member's securities or
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of February 10, 1989, the following 26 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,880
SUGGESTED ROUTING*
Legal & ComplianceRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved two revisions to Form BD, the Uniform Registration Application for Broker-Dealers, under the Securities Exchange Act of 1934. These revisions, which are effective August 1,
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 13, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The proposed amendment would conform the NASD rule to that of the New York Stock Exchange.
TO: All NASD Members
The Securities and Exchange Commission has approved amendments to Article III, Section 28 of the Association's Rules of Fair Practice and the amendments are hereby declared effective as of May 1, 1983. These amendments were previously approved by the Association's Board of Governors and by a vote of the membership.
Section 28 addresses the responsibilities of
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees and the District Nominating Committees. The
candidates nominated to the District Committees have been duly
elected in
SEC Approves Consolidated Front Running Rule
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
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PART I
There are many ways you can slice a pie and reasons why you might want to serve larger or smaller pieces, but if you go too big, the size of a piece can become overwhelming. Sometimes, the same could be said of stocks.When a stock price gets high, sometimes a public company will want to lower that price and can do that with a stock split.A stock split is a decision by a company’s board to
