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Notice To Members 91-29
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
Notice To Members 92-42
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
Notice To Members 91-17
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 Good Friday, March 29, 1991. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule
Notice To Members 91-14
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, February 18, 1991, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
Notice To Members 91-70
SUGGESTED ROUTING:* Senior Management Institutional Legal & Compliance Trading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission approved on October 10 the establishment of Nasdaq
Notice To Members 90-53
SUGGESTED ROUTING* Internal AuditLegal & ComplianceOperationsSystemsMunicipalSyndicateTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, September 3, 1990, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the
Notice To Members 90-41
SUGGESTED ROUTING* Iternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Wednesday, July 4, 1990 in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to
Notice To Members 90-33
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 28, 1990 in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the
Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee
Robert W. Cook's Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee
Notice To Members 90-24
SUGGESTED ROUTING* Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Good Friday, April 13, 1990. "Regular way" transactions made on the preceding