Displaying 7421 - 7430 of 9389 Results
Notice To Members 90-70
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 12, 1990. On Monday, November 12, the NASDAQ system and the
Notice To Members 90-59
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 8, 1990. On this day, the NASDAQ system and the exchange markets will be
Notice To Members 89-22
SUGGESTED ROUTING* Senior Management Legal & Compliance Syndicate *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD
Notice To Members 89-62
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be
Notice To Members 89-35
SUGGESTED ROUTING* InstitutionalLegal & ComplianceMutual FundOperationsTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD has received a number of complaints from investors in mutual funds that have no front-end sales loads but that have contingent deferred sales loads (CDSLs). The NASD intends to investigate the
Notice To Members 88-3
TO: All NASD Members and Other Interested Persons ATTN: Operations Principal, Cashier EXECUTIVE SUMMARY The Securities and Exchange Commission has approved an amendment to Section 64 of the NASD Uniform Practice Code, entitled "Acceptance and Settlement of COD Orders." Effective February 11, 1988, NASD members must settle all depository-eligible customer COD/POD domestic
Notice To Members 88-2
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 18, 1988. On January 18, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of
Notice To Members 87-1
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 19, 1987. On Monday, January 19, 1987, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
Notice To Members 86-64
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflect the observance by the financial community of Columbus Day, Monday, October 13, 1986. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking
Notice To Members 85-85
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 20, 1986. On Monday, January 20, 1986, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date