SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Registration (Form U-5). The changes to Form U-4 include
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
At the present time, many certificates of deposit held by individuals are expiring. There has been an intensive marketing effort by some mutual funds and many NASD members to persuade such individuals to invest in bond mutual
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On September 12, 1991, the United States District Court for the Eastern District of Texas (Tyler) appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Affiliated Security Brokers, Inc.115 East Erwin
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, December 25, 1991, Christmas Day, and Wednesday, January 1, 1992, New Year's Day. "Regular way" transactions made
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix F under Article III, Section 34 of the Rules of Fair Practice and Schedule D to the NASD By-Laws. The amendments would restrict member participation
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to rescind the Guidelines and to amend Article III, Section 35 of the Association's Rules of Fair Practice to include items that were contained in the Guidelines regarding
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 15 of the NASD Rules of Fair Practice. The amendments would exempt certain bulk exchanges of money market mutual funds utilizing
