I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
During the past year, the Association has taken an active role in attempting to assist members in their obligation to comply with the complex requirements imposed by both the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") and the Interest and Dividend Tax Compliance Act of 1983 (the "Act").
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
SUMMARY
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier, Fail-Control Department
On January 31, 1984, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firm.
Court order permits firm to settle open contracts with other broker-dealers. All inquiries regarding the firm should be directed to the Temporary Receiver, as noted below:
Temporary Receiver
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier,, Fail-Control Department
On January 31, 1984, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB Rule G-12 (h)(iv) provides that members may use the above procedures to close-out transactions in municipal securities.
Questions regarding the firm should be directed to:
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 1, 1984, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(1) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB Rule G-12 (h)(iv) provides that members may use the above procedures to close-out transactions in municipal securities.
Questions regarding the firm should be directed to:
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
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TO: All NASD Members
Attention: Registration and Trading Departments
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 13, 1984, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on January 31, 1984.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to join NMS on March 20 are:
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