Executive Summary
The purpose of this Notice is to advise members of the Regional Nominating Committee Nominees for the 1999 National Adjudicatory Council (NAC). Pursuant to nomination procedures outlined in Special Notice to Members 98-62, nominees for NAC are presented to the membership. If an officer, director, or employee of a National Association of Securities Dealers, Inc. (NASD®) member
Unregistered associated persons may not routinely take customer orders during periods of peak telephone call volume.<br/>
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 24, 1997, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
SMB.GA
Smith Barney Hldgs Inc New
6.625
6/1/00
PHN.GA
Phonetel Technologies Inc
12.000
12/
Executive Summary
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 1996. On this day, The Nasdaq Stock Market, Inc., and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking institutions will be closed.
Trade Date
Suggested Routing
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 2, 1996, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to the
SUGGESTED ROUTING
Legal & Compliance
Registration
Training
NASD® member firms may now order rosters of their registered persons who are subject to the Regulatory Element of the new Securities Industry Continuing Education rules, which were effective July 1, 1995. (See Special Notice to Members 95-13, March 8, 1995).
Firm rosters will be prepared from a database periodically
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of November 29, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
MMG.GA
Metromedia Int'l Group
9.875
3/15/97
MMG.GB
Metromedia Int'l Group
10.000
10/1/99
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
Comment Period Expires: May 17, 1995
SUGGESTED ROUTING
Senior Management
Debt Department
Equity Department
Government Securities
Institutional
Legal & Compliance
Trading
Executive Summary
The NASD requests member comment on a proposed Interpretation of the NASD Board of Governors to Article III, Section 2 of the NASD Rules of Fair Practice (RFP). The
