SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registered Representatives
Systems
Trading
Executive Summary
In March 1998, the Securities and Exchange Commission (SEC) approved new National Associationof Securities Dealers, Inc. (NASD®) Rules
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In 1994, the National Association of Securities Dealers, Inc. (NASD®) Rule 3350 (Short-Sale Rule) was adopted to stop market-destabilizing speculative short sales in Nasdaq National Market® (NNM) securities. To prevent this conduct, the Short-Sale Rule
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Training
Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons" and about other OFAC regulations. On December 9, 1997, OFAC amended its regulations to require
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of December 30, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
NAT.GA
North Atlantic Trading Inc
11.000
06/15/04
OEI.GA
Ocean Energy Inc
8.875
07/15/07
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, January 19, 1998, in observance of Martin Luther King, Jr., Day. "Regular way" transactions
