Exemptive Letter to Venu Palaparthi, NPM Securities LLC
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock Market™ will be closed on Friday, July 3, 1992 in observance of Independence Day. "Regular way" transactions made on the business days immediately preceding
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, May 25, 1992 in observance of Memorial Day. "Regular way" transactions made on the business days immediately preceding
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Good Friday, April 17, 1992. "Regular way" transactions made on the business days immediately preceding that day will be subject
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, February 17, 1992, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
At the present time, many certificates of deposit held by individuals are expiring. There has been an intensive marketing effort by some mutual funds and many NASD members to persuade such individuals to invest in bond mutual
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 on Monday, September 2, 1991, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to
SUGGESTED ROUTING:*
Senior ManagementMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On April 23, 1991, the United States District Court for Connecticut appointed the Securities Investor Protection Corporation (SIPC) trustee for:
Gateway Securities, Inc.45 E. Putnam AvenueGreenwich, CT 06830.
Questions regarding the firm should be
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 on Thursday, July 4, 1991, in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject
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 on Monday, May 27, 1991, in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the
