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Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
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As of December 23, 1996, the following bonds were added to the Fixed Income
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
SUGGESTED ROUTING
Corporate Finance
Government Securities
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Legal & Compliance
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Options
Registration
Research
Syndicate
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Training
The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set,
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Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Good Friday: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Good Friday, March 28, 1997. "Regular way" transactions made on the business days noted below will be subject to the
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/
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments to NASD® Rule 8210 (formerly Article IV, Section 5 of the NASD Rules of Fair Practice) to require members and their associated persons to provide information in connection with investigations being conducted by other regulatory organizations and to NASD Rules 8210 and 8220 (formerly Article IV, Section 5 of
Comment Period Expires: October 31, 1996
Executive Summary
The NASD requests comment on proposed amendments to NASD® Rule 3010 (formerly NASD Rules of Fair Practice, Article III, Section 27) to adopt a rule requiring each member firm whose work force is comprised of a specified number of persons that have been associated with a disciplined firm, or each member firm that is itself a disciplined
SUGGESTED ROUTING
Senior Management
Registered Representatives
Advertising
Corporate Finance
Government Securities
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Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
In Notice to Members 96-32, NASD
Regulation, Inc. (NASD Regulation)
informed the membership of its
