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TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, under Article III, Section 1 of the NASD Rules of Fair Practice. The amendment, which becomes effective June 1, 1988, requires a qualified independent underwriter to provide a
SUGGESTED ROUTING*
MunicipalOperationsSyndicateTrading
*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 10, 1988. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a
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
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1987. 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
TO: All NASD Members and Municipal Securities Bank Dealers
In Notice to Members 85-63, dated September 23, 1985, members were advised that Tuesday, November 5, Election Day, and Monday, November 11, Veterans Day, would not be considered business days since many banking institutions would be closed.
The NASD has been advised that most banking institutions will be open on Election Day but will
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the
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 21, 1985. On Monday, January 21, 1985, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
