SUGGESTED ROUTING:*
Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
After several years of discussion, the Securities and Exchange Commission (SEC), NASD, and North American Securities Administrators Association (NASAA) have resolved their differing views regarding disclosure
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD, on the recommendation of its Legal Advisory Board (LAB), has undertaken a reorganization of the NASD Manual in order to make the Manual easier to use. As a first step in the Manual revision project, the LAB proposed an
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
New Year's Day: Trade Date-Settlement Date Schedule
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, January 1, 1992, in observance of New Year's Day. "Regular
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 25, 1991, the following 57 issues joined the Nasdaq National Market, bringing the total number of issues to 2,645:
Symbol
Company
Entry Date
SOES Execution Level
ODFL
Old Dominion Freight Line, Inc.
10/24/91
1000
UWSI
United
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to the NASD By-Laws to extend the NASD's summary suspension procedures to permit the NASD to suspend the membership or registration of a party that
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to Schedule C of the NASD By-Laws relating to the premembership interview process for applicants for NASD membership. The
