SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Training
Executive Summary
On July 3, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice and Part I of Schedule D to the NASD By-Laws to exclude investment companies and business development
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Registration
Training
Executive Summary
On February 13, 1995, in SEC Release No. 34–35361, File No. SR-NASD-94–51, the Securities and Exchange Commission (SEC) approved amendments to Parts VI and X of Schedule C of the NASD By-Laws relating to foreign finders and foreign associates. These
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundSyndicate
Executive Summary
On February 24, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice exempting money market mutual funds with asset-based sales charges equal to or less than 25 basis points from disclosing that "long-
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the second and third quarters of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-22
April 8, 1985
NASDAQ
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On January 1, 1991, amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules"), which require NASD members to make reasonable efforts to obtain
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Parts II and III of Schedule C of the NASD By-Laws that will require a member to submit applications for and maintain the registrations of only
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed amendment to Article III, Section 21 of
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
TO: All NASD Members and Other Interested Persons
SUMMARY
The NASD Board of Governors believes it is necessary to clarify its policy with respect to trading in stock and index options by members or persons associated with a member while in possession of material, non-public market information concerning imminent transactions of block size. Under certain circumstances, this type of activity,
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD reminds members that the NASD By-Laws require a statutorily disqualified person who wishes to obtain a controlling interest in, or become a controlling person of, an NASD member firm must, before assuming such a position, apply to the NASD for approval through the Eligibility Proceedings described in the NASD By-Laws
