TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The SEC recently approved an amendment to Section 2 of Schedule G of the NASD By-Laws (SEC Release Number 34-23780). The amendment, which is effective immediately, requires NASD members to report transactions in listed securities executed in the over-the-counter market in the United States between 4:00 p.m. and 4:30 p.m.
SUGGESTED ROUTING*
Senior Management MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On August 1, 1990, the United States District Court for the District of Colorado appointed a SIPC trustee for:
Blinder, Robinson & Company, Inc.6455 South Yosemite StreetEnglewood, Colorado 80111.
Members may use the "immediate close-
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On June 22, 1990, the United States District Court for the Northern District of Ohio appointed a SIPC trustee for:
First Ohio Securities CompanyTwo Park Plaza1111 Chester AvenueCleveland, OH 44114.
Members may use the "immediate close-out"
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent reports of a CrowdStrike service outage affecting Microsoft operating systems. FINRA continues to monitor the outage.
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On February 28, 1989, the United States District Court for the Eastern District of New York appointed a Temporary Receiver for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperations
*These are suggested departments only. Others may be appropriate for your firm.
On September 8, the United States District Court for the Northern District of New Jersey appointed a SIPC trustee for Fairweather (George R.) Securities, Inc., 75 Montgomery Street, Jersey City, New Jersey.
Members may use the "
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On January 30, 1986, the United States District Court for the Eastern District of Arkansas appointed a SIPC Trustee for the above-captioned firm. Previously on January 28, Richard Smith, Esquire had been appointed a Trustee under Chapter 7 of the Bankruptcy Act.
Members may use the "immediate close-out"
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Wednesday, June 22, 1983, the United States District Court for the Central District of California appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on June 21, 1983.
Members may use the "immediate close-out" procedures as provided in
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has issued its views on frequently raised interpretive questions
No member shall make an offer to buy from or sell to any person any security at a stated price unless such member is prepared to purchase or sell, as the case may be, at such price and under such conditions as are stated at the time of such offer to buy or sell.
• • • Supplementary Material: --------------
.01 Firmness of Quotations. Members and persons
