TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 21, 1986, 16 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,218. These 16 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, July 4, 1983, in observance of Independence Day. "Regular-Way" transactions made on the business days preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way"
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 19, 1985, 18 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,172. These 18 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, May 30, 1983, in observance of Memorial Day. "Regular-Way" transactions made on the business day preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way"
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
TO: All NASD Members, NASDAQ Companies and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 30, 1985.
The National Association of Securities Dealers, Inc., is requesting comment from NASD members, NASDAQ issuers and other interested persons on certain concepts related to voting rights of the shareholders of companies whose securities are included in the NASDAQ National Market System (
New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
