SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
INFORMATIONAL
Reg T And SEC Rule 15c3-3 Reason Codes
Effective Date: February 7, 2000
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Regulation T
SEC Rule 15c3-3
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 21, 1985, 42 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,976. These 42 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
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Executive Summary
On October 20, 1995, the Securities and Exchange Commission (SEC) approved a statement of policy that establishes internal NASD® procedures delegating to the NASD staff and the NASD Fixed Income Committee the authority to review requests by members
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Executive Summary
As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully
Last Voting Date: January 30, 1998
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The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to vote to approve amendments to the NASD By-Laws to require executive representatives of members to update firm contact information electronically, to maintain
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
FIPS Changes
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FIPS
As of July 20, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASTR.GA
All Star Gas Corp
11.000
08/14/01
AIQ.GA
For Your Information
National Association of Securities Dealers, Inc.
May 1989
Test Site Changes for May in Kansas, New York, Georgia, and Florida
New PLATO Test Centers in Kansas
Effective May 1, 1989, Control Data PLATO Development Centers began operating at the following locations:
Farmers State Bank Building, 718 MainStreet, Suite 202, Hays, KS 67601 (913) 232-1690.
Epic Office
