SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, December 25, 1995, in observance of Christmas Day, and Monday, January 1, 1996, in observance of New Year's Day. "Regular way" transactions made on the business days noted below will be
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of August 25, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
NAE.GA
NorAm Energy
7.500
8/1/00
HRVD.GB
Harvard Indus
11.125
8/
FINRA requires members to file a continuing membership application (CMA) whenever they effect changes in ownership, control, or business operations. Members also must file a CMA whenever they seek to modify or remove restrictions previously imposed in a membership agreement. The CMA process protects investors by ensuring that a member’s supervisory and compliance systems, policies, and procedures
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 14, 1995. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Apr. 6
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 20, 1995, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Feb.
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination, as outlined in a Technical Notice from December 10, 2015.
Last Voting Date: July 26, 1993
SUGGESTED ROUTING
Senior Management
Executive Summary
The NASD® invites members to vote on a proposed amendment to Article IX, Section 4 of the NASD By-Laws to conform the procedures for filling vacancies on Nominating Committees to those currently in place for District Committees. The change would eliminate the requirement for special elections to
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Presidents' Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 21, 1994, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III. Section 21 of the NASD Rules of Fair Practice to incorporate into predispute arbitration agreements a provision that will make class action
