Comment Period Expires: August 28, 1995
SUGGESTED ROUTING
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Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
Summary
FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would be similar to those required for NMS stocks under the Securities and Exchange Commission’s (SEC) Rule 606(a) of Regulation NMS, with certain modifications reflecting the different structure of the
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As of August 22, 1997, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
BOR.GB
Borg-Warner Security Corp
9.625
03/15/07
FNWH.GA
First Nationwide Holdings Inc
GUIDANCENAC NominationsNomination Deadline: May 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementNational Adjudicatory CouncilExecutive SummaryThe purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-year terms of the NAC regional Industry
INFORMATIONAL
NAC Nominations
Nomination Deadline: May 9, 2003
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 two upcoming vacancies on the National Adjudicatory Council (NAC). The three-
SUGGESTED ROUTING
Internal Audit
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Operations
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Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Thursday, December 25, 1997, in observance of Christmas Day, and Thursday, January 1, 1998, in
SUGGESTED ROUTING
Internal Audit
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Columbus Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 13, 1997. On this day, The Nasdaq Stock MarketSM and the
SummaryFINRA has amended its Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule.1 The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The
SUGGESTED ROUTING
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Registration
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Variable Contracts
Executive Summary
In accordance with
Comment Period Expires: June 30, 1997
SUGGESTED ROUTING
Senior Management
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their disclosure obligations when marketing mutual funds and other securities and requests comment on whether a rule should be adopted creating a requirement to
