Displaying 9321 - 9330 of 34017 Results
Notice To Members 88-60
SUGGESTED ROUTING* Senior ManagementOperationsResearch *These are suggested departments only. Others may be appropriate for your firm. The following NASD Notices to Members were issued during the second quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C.
Notice To Members 88-61
SUGGESTED ROUTING* Senior Management Legal & Compliance OperationsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Small Order Execution System (SOES) was created to allow public customers to enter orders of limited size into the NASDAQ System for immediate execution at the best available price. Section 3(c) of the SOES
Notice To Members 88-62
SUGGESTED ROUTING* Senior Management Corporate Finance SyndicateTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
Notice To Members 88-63
SUGGESTED ROUTING* Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
Notice To Members 88-64
SUGGESTED ROUTING* Senior Management Legal & Compliance Mutual Fund Trading *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a proposed amendment to Article III, Section
Notice To Members 88-65
SUGGESTED ROUTING* Senior Management Legal & Compliance Mutual Fund Registration Training *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENT EXECUTIVE SUMMARY The NASD requests comment on a proposed amendment to
Notice To Members 88-66
SUGGESTED ROUTING* OperationsRegistrationTraining *These are suggested departments only. Others may be appropriate for your firm. Please note that the September 17, 1988 Series 7 test session in Houston will be held at: Houston Airport Marriott HotelIntercontinental Airport18700 Kennedy BoulevardHouston, Texas 77032 Candidates are to report to the intercontinental ballroom. The hotel is
Information Notice - 11/25/14
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
Notice To Members 88-67
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsRegistration *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD reminds members that the NASD By-Laws and Rules of Fair Practice require that complete and accurate information be provided on Forms U-4 and U-5 and that members are responsible for investigating a
Notice To Members 88-68
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Registration *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENT EXECUTIVE SUMMARY The NASD requests comment on proposed amendments to Article IV, Section 3 of