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Senior Management
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Executive Summary
In Notice to Members 96-32, NASD
Regulation, Inc. (NASD Regulation)
informed the membership of its
Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
Executive Summary
Effective October 1, 1996, tier sizes for 591 Nasdaq National Market® securities will be revised in accordance with NASD Rule 4710(g) [formerly ¶ 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOES)].
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
Executive Summary
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 1996. On this day, The Nasdaq Stock Market, Inc., and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking institutions will be closed.
Trade Date
Settlement
SUGGESTED ROUTING
Senior Management
Legal & Compliance
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Trading
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Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all transactions in DPPs to
As of August 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
CQB.GH
Chiquita Brands Intl
10.25
11/01/06
KR.GJ
Kroger Co
8.15
7/15/06
SCR.GD
Sea Containers Ltd
10.5
7/1/03
GBPI.GA
Golden Books Publishing Inc
7.65
9/15/02
ORX.GI
Oryx Energy
8.375
7/15/04
CSNO.GB
Casino America Inc
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules which prescribes
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Trading
Training
Executive Summary
The Securities and Exchange Commission's (SEC) Regulation M, which regulates the market activities of persons with an
Comment Period Expires: April 30, 1997
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD®Rule 2460 that would restrict the payment of "finders" or referral fees by NASD members to unregistered third parties for the referral of retail business
