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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 30, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comment on two proposed amendments to the NASD Rules of Fair Practice. The proposed amendments would require members to (a) mark all customer order tickets "long" or "short" and (b) make an affirmative
TO: All NASD Members and Interested Persons
ATTN: Compliance and Registration Personel
This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members. It also announces the Securities and Exchange Commission's approval of an amendment to Schedule C, which expands the
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the West Region and New York Region. The nominees, nominated for two-year terms beginning in
Exemptive relief is granted based on the following considerations: (1.) the de minimis nature of the Contribution mitigates the probability that the payment will improperly influence issuer officials; (2.) the Contribution was made by an individual who has never been employed in the municipal securities business.
SEC Approves Amendments to Require Mark-Up/Mark-Down Disclosure on Confirmations for Trades With Retail Investors in Corporate and Agency Bonds
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Subpoenas
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to the subpoena rule as set forth in Rule 10322 of
the NASD Code of Arbitration
SUGGESTED ROUTING
Senior Management
Corporate Finance
Internal Audit
Legal & Compliance
Syndicate
Trading
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to Members to remind members that compensation received by members in public offerings of
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of August 21, 1995, the following 59 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,863:
Symbol
Company
Entry Date
SOES Execution Level
CBXC
Cybex Computer Products Corporation
7/28/95
500
FLCN
Falcon Drilling
