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Interpretive Letter to Michael R. Trocchio, Esq., Bingham McCutchen LLP
Member ceasing to offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to an affiliated broker-dealer.
Notice To Members 93-64
SUGGESTED ROUTING Senior ManagementLegal & Compliance Executive Summary On August 25, 1993, the Securities and Exchange Commission (SEC) approved amendments to Part I, Section 1, and Part II, Sections 8 and 9, of the Code of Arbitration Procedure (Code) to clarify that employment-related disputes are arbitrable and to provide that employment discrimination or employment
Notice To Members 93-48
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of June 22, 1993, the following 54 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,145: Symbol Company Entry Date SOES Execution Level FFEX Frozen Food Express Inds., Inc. 5/25/93 1000 STCI Station Casinos, Inc. 5/25/93 500 ZHOM Zaring Homes, Inc. 5/25/93 1000 HFSC
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 93-34
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065: SUGGESTED ROUTING Internal AuditOperationsSystemsTrading Symbol Company Entry Date SOES Execution Level JARS Alltrista Corporation 3/24/93 1000 CHCS Chico's FAS, Inc. 3/24/93 1000 FFBG First Federal Savings Bank of Brunswick Georgia
Notice To Members 92-46
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of July 28, 1992, the following 48 issues joined the Nasdaq National Market, bringing the total number of issues to 2,916: Symbol Company Entry Date SOES Execution Level CTEC Cholestech Corporation 6/26/92 1000 SBUX Starbucks
Notice To Members 92-35
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of May 27, 1992, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 2,863: Symbol Company Entry Date SOES Execution Level SPTN SportsTown, Inc. 4/22/92 1000 SMRT Stein Mart, Inc. 4/22/92
Notice To Members 92-24
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of March 25, 1992, the following 63 issues joined the Nasdaq National Market, bringing the total number of issues to 2,766: Symbol Company SOES Entry Date Execution Level LTCH Litchfield Financial Corporation 2/25/92 1000 SCHL
Notice To Members 91-85
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of November 25, 1991, the following 57 issues joined the Nasdaq National Market, bringing the total number of issues to 2,645: Symbol Company Entry Date SOES Execution Level ODFL Old Dominion Freight Line, Inc. 10/24/91 1000 UWSI United
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