TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 17, 1986, 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,398. These 10 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments by members and other interested persons a proposed amendment to the Code of Procedure that would grant the NASD the discretion to determine whether a hearing should be held in an eligibility proceeding under Article VII,
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 3, 1985, 23 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,183. These 23 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
TO: All NASD Members, NASDAQ Companies and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 30, 1985.
The National Association of Securities Dealers, Inc., is requesting comment from NASD members, NASDAQ issuers and other interested persons on certain concepts related to voting rights of the shareholders of companies whose securities are included in the NASDAQ National Market System (
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 6, 1985, 32 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,077. These 32 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
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 2, 1985, 40 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,045. These 40 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member
Supervision of Recommendations
after a Registered Representative
Changes Firms
Regulatory Notice
Notice
Type
Guidance
Referenced Rules & Notices
NTM 07-06
SEC Regulation S-P
Suggested
Routing
Compliance
Executive Representatives
Legal
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Senior Management
Key Topic(s)
SEC Regulation S-P
Mutual Funds
Registered Representatives
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Executive
TO: All NASD Members
ATTN: Operations Principals, Cashiers and Buy-in Personnel
The Association's Board of Governors has adopted various amendments to the Uniform Practice Code which prescribes the manner in which over-the-counter securities transactions are compared, cleared and settled between NASD member firms. These amendments to the Code apply to all NASD members participating in
