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 in 1990:
January 1
New Year's Day
July 4
Independence Day
February 19
Presidents'Day
September 3
Labor Day
April 13
Good Friday
November 24
Thanksgiving Day
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed Monday, December 25, 1989, Christmas Day, and Monday, January 1, 1990, New Year's Day. "Regular way" transactions made on the business days noted
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1989, the following 19 issues joined the NASDAQ National Market, bringing the total number of issues to 2,712:
Symbol
SUGGESTED ROUTING*
Legal & ComplianceOperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Schedule C to the NASD By-Laws that will require members to disclose to applicants for registration the specific purpose of any fees collected from
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD reminds members that have employed a statutorily disqualified person of the seriousness with which the NASD views these members' obligation to adequately discharge their supervisory responsibilities with
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and responding to the
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade