GUIDANCE
Examination Fees
Implemention Date: January 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Examination Fees
Qualification Examinations
Registration
Schedule A to the NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 5, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National Adjudicatory Council (NAC). The
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
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of January 21, 1999, the following bonds were added to the Fixed
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
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, September 7, 1998, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Friday, July 3, 1998, in observance of Independence Day. "Regular way" transactions made on the business days noted below
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Good Friday: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 10, 1998. "Regular way" transactions made on the business days noted below will be subject to the following
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of September 23, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
UH.GC
U.S. Home Corp
8.250
08/15/04
UH.GD
U.S. Home Corp
8.880
08/15/07
HU.GA
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Memorial Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 25, 1998, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be
