SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
Every person registered with a member of the NASD® must notify the NASD of his or her current mailing address. This obligation exists while a registrant is associated with any NASD member firm, and continues for as long as the NASD retains jurisdiction to bring a disciplinary action
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in address and
Suggested Routing
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Monday, November 11, 1996, and Thanksgiving Day, Thursday, November 28, 1996. On Monday
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 18, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval a comprehensive proposed rule change that will address three primary issues: (1) how an entity or person becomes a member of the NASD® (membership procedures); (2)
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 3, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
AMD.GA
Advanced Micro Devices Inc
11.000
8/1/03
WRSL.GC
Weirton Steel
10.750
6/1/05
IV.GBC
Mark IV
7.750
4/1/06
RAZR.GA
Amer Safety Razor
9.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of April 24,1997,the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
OIL.GC
Triton Energy Corp
8.750
4/15/02
OIL.GD
Triton Energy Corp
9.250
4/15/05
MAT.GA
Mattel Inc
10.125
8/15/02
BG.GB
Brown
Suggested Routing
Senior Management
Legal & Compliance
Registration
Executive Summary
On October 9, 1996, the Securities and Exchange Commission (SEC) approved an amendment to IM-8310-2 regarding the availability of disciplinary complaints and disciplinary decisions upon request. The amendment permits the NASD to provide copies of NASD® disciplinary complaints and disciplinary decisions
Suggested Routing
Senior Management
Legal & Compliance
Registration
Executive Summary
Effective December 1, 1996, the Central Registration Depository (CRD) will send an individual Continuing Education Program Advisory Message for both Regulatory Element Directed Sequences (see Exhibit 1) and Regulatory Element Directed Sessions (see Exhibit 2) to notify member firms of Continuing
Suggested Routing
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Wednesday, December 25, 1996, in observance of Christmas Day, and Wednesday, January 1, 1997, in observance of New Year's Day. "
