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Notice to Members 05-26
Executive Summary NASD is concerned about the number of increasingly complex products that are being introduced to the market in response to the demand for higher returns or yield. Some of these products have unique features that may not be well understood by investors or registered persons. Others raise concerns about suitability and potential conflicts of interest. While NASD has and will
Notice To Members 90-70
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 12, 1990. On Monday, November 12, the NASDAQ system and the
Notice To Members 90-59
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 8, 1990. On this day, the NASDAQ system and the exchange markets will be
Notice To Members 89-62
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be
Notice To Members 89-35
SUGGESTED ROUTING* InstitutionalLegal & ComplianceMutual FundOperationsTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD has received a number of complaints from investors in mutual funds that have no front-end sales loads but that have contingent deferred sales loads (CDSLs). The NASD intends to investigate the
What Is a Blockchain, and Why Should I Care?
If you own crypto assets, or are considering doing so, it’s valuable to have at least a basic understanding of blockchain, the technology protocol that powers most cryptocurrencies, including bitcoin and ethereum. Blockchain uses computer code to create, maintain and update information shared by blockchain participants.
Notice To Members 88-34
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved the NASD's adoption of new Section 67 to the NASD's Uniform Practice Code. This section requires the syndicate manager of a public offering underwritten on a "firm commitment" basis to immediately notify the NASD's Uniform Practice
Notice To Members 88-2
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 18, 1988. On January 18, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of
Notice To Members 87-1
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 19, 1987. On Monday, January 19, 1987, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
Notice To Members 86-64
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel The schedule of trade dates/settlement dates below reflect the observance by the financial community of Columbus Day, Monday, October 13, 1986. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking