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Notice to Members 04-87
INFORMATIONALTrade Date–Settlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade Date–Settlement Date Schedule Martin Luther King, Jr., Day:Trade Date–Settlement Date ScheduleThe Nasdaq Stock Market®
Notice To Members 94-57
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of June 28, 1994, the following 68 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,688: Symbol Company Entry Date SOES Execution Level ABRX ABR Information Services Inc. 5/26/94 200 FRES Fresh America Corp. 5/26/94 500 LZTN Lazer-Tron Corporation 5/26/94 200
Notice to Members 03-78
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date-Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the
Notice To Members 94-31
SUGGESTED ROUTING MunicipalOperationsSystemsTrading As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571: Symbol Company Entry Date SOESSM Execution Level CHGNF AES China Generating Co. Ltd. (Cl A) 2/24/94 500 EFCX Electric Fuel Corporation 2/24/94 500 GVIL Global Village Communications, Inc. 2/24/
Notice To Members 94-21
SUGGESTED ROUTING MunicipalOperationsSystemsTrading As of February 24, 1994, the following 62 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,537: Symbol Company Entry Date SOESSM Execution Level SLOT Anchor Gaming 1/28/94 500 NSTA Anesta Corp. 1/28/94 500 GNPT GP Financial Corp. 1/28/94 1000 INTM Interim Services Inc. 1/28/94
Notice To Members 93-80
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of October 25, 1993, the following 77 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,325: Symbol Company Entry Date SOES Execution Level TBAY Gotham Apparel Corp. 9/27/93 1000 BPIX Broadcasting Partners, Inc. (Cl A) 9/28/93 1000 COSB CSB Financial
Remarks at the CCOutreach BD National Seminar
Thank you so much Lori for that kind introduction, and thank you, Mr. Chairman, for hosting this important program. I am thrilled to be here. And I want to add my welcome to Lori's and Chairman Cox's.
Notice to Members 02-84
Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS   Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making   Holiday Trade Date-Settlement Date Schedule Trade Date—Settlement Date     The NASDAQ Stock Market and the
Notice To Members 91-55
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of July 24, 1991, the following 54 issues joined Nasdaq/NMS, bringing the total number of issues to 2,568: Symbol Company Entry Date SOES Execution Level GNLB Genelabs Technologies, Inc. 6/13/91 1000 GLYC Glycomed Incorporated 6/13/91
Notice to Members 99-104
ACTION REQUIRED SOES Order Sizes SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Systems Trading SOES Maximum Order Sizes The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary Effective January 10, 2000