SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of January 24, 1997, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
SMB.GA
Smith Barney Hldgs Inc New
6.625
6/1/00
PHN.GA
Phonetel Technologies Inc
12.000
12/
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 19, 1996, in observance of Presidents' Day, "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Feb. 12
Feb. 15
Feb. 20
13
16
21
14
20
22
15
21
23
16
22
26
19
Markets Closed
—
20
23
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984:
Symbol
Company
Entry Date
SOES Execution Level
ESTR
ElectroStar, Inc.
12/21/95
200
FRAG
French Fragrances, Inc.
12/21/95
200
HOMEF
Home Centers (DIY),
Limited (Ord Shs)
12/21/95
500
RGNT
Regent Assisted
As of January 30, 1996, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
GRLC.GA
Great Lakes Carbon Corp
10
1/1/2006
NEOD.GA
Neodata Services Inc
12
Regulatory Notice
Suggested Routing
Senior Management
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Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
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Operations
Options
Registration
Research
Syndicate
Systems
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Executive Summary
On January 29, 1996, the Securities
and Exchange Commission (SEC)
approved amendments to Sections
1(a)(v)
Executive Summary
The Securities and Exchange Commission (SEC) recently approved two NASD proposals to amend the NASD's options position-limit rule, Article III, Section 33(b)(3) of the NASD Rules of Fair Practice. On January 22, 1996, the SEC approved an NASD proposal to add two new position-limit tiers for option classes overlying equity securities that meet certain criteria for high
The delivery of Continuing Education Regulatory Element and Qualifications Examinations is now available at the following remote sites on the dates specified
Alaska
Anchorage
March 19-21
June 11-13
California
Bakersfield
Executive Summary
Effective April 1, 1996, tier sizes for 1,024 Nasdaq National Market securities will be revised in accordance with Paragraph 2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
For more information, please contact Nasdaq Market Operations at (203) 378-0284.
Executive Summary
To help members comply with the Free-Riding and Withholding Interpretation of the NASD Board of Governors (Free-Riding Interpretation), on May 13, 1996, the NASD will initiate a new regulatory service called "Compliance Desk." The NASD believes that Compliance Desk will give members timely notification of hot issues that are subject to NASD regulatory review, and
The NASD® published the following Notices to Members during 95. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire year's Notices, is also available at $150. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information,
