Displaying 721 - 730 of 11870 Results
Notice To Members 89-80
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed Monday, December 25, 1989, Christmas Day, and Monday, January 1, 1990, New Year's Day. "Regular way" transactions made on the business days
Notice to Members 00-77
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Thanksgiving Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Thursday,
Notice to Members 00-58
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Labor Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday,
Notice to Members 00-40
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Independence Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Tuesday,
Notice to Members 00-25
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Memorial Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, May 29
Notice to Members 98-37
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
Notice to Members 98-12
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Presidents' Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market and the securities exchanges will be closed on Monday, February 16, 1998, in observance of Presidents' Day. "Regular way" transactions made on the business days
Notice to Members 00-20
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Good Friday: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Good Friday,
Notice to Members 97-21
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Memorial Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market, Inc., and the securities exchanges will be closed on Monday, May 26, 1997, in observance of Memorial Day. "Regular way" transactions made on the business days
5320. Prohibition Against Trading Ahead of Customer Orders
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order