Executive Summary
On May 18, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Interpretive Material 2110-1 (IM-2110-1) and Rule 2720, revising certain provisions of the Free-Riding and Withholding Interpretation (Interpretation). These amendments address direct and indirect owners of broker/dealers, investment
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registration
Trading
Training
Executive Summary
On April 1, 1998, NASD Regulation, Inc., implemented amendments to the National Association of Securities Dealers, Inc. (NASD®) Registration Rules
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In light of the recent approval of the new and increased listing standards for The Nasdaq Stock MarketSM (Nasdaq®), the Securities and Exchange Commission (SEC) has again provided an exemption from the filing requirements of SEC Rule 15c2-11 for certain securities
SUGGESTED ROUTING
Senior Management
Corporate Finance
Syndicate
Executive Summary
On June 2, 1997, The Depository Trust Company (DTC) will launch its Initial Public Offering (IPO) Tracking System. Starting June 2, managing underwriters should be aware that for securities to be eligible for listing on The Nasdaq Stock Market, Inc., they must be "depository eligible
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653:
Symbol
Company
Entry Date
SOESSM Execution Level
BUCK
Buckhead America Corporation
4/28/94
200
MLXR
MLX Corp.
4/28/94
200
ABCO
American Buildings Company
4/29/94
500
BRKB
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
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 AuditOperationsSystemsTrading
As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186:
Symbol
Company
Entry Date
SOES Execution Level
CFBKP
Citizens Federal Bank, A Federal Savings Bank
6/23/93
200
PITC
Pittencrieff Communications, Inc.
6/23/93
1000
RCAP
Re Capital
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
BACKGROUND
On November 18, 1983, the Securities and Exchange Commission issued Release No. 34-20397 announcing the adoption of Rule 15c2-2 (the "Rule") under the Securities Exchange Act of 1934 (the "Act") (17 CFR Part 240). Rule 15c2-2 prohibits broker-dealers from using mandatory arbitration clauses in
