SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 20, 1992, the following 30 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,956:
Symbol
Company
Entry Date
SOES Execution Level
EZEMB
E-Z-EM, Inc. (Cl B)
10/27/92
1000
HALO
HA-LO Industries
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Operations
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 15 of the NASD® Rules of Fair Practice. The amendment permits NASD members to use negative-response letters in bulk exchanges of money market mutual
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
Since December 1, 1990, market makers in Nasdaq Small-Cap MarketSM securities that also make markets in the Small Order Execution System (SOESSM) have had to display size in their quotations of at least 500 shares. Effective February 1, 1993, this requirement will apply to all
SUGGESTED ROUTING
Legal & ComplianceRegistration
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Schedule A of the NASD® By-Laws that permits the NASD to assess a $50 fee for the registration of each branch office and an annual $50 fee based on the number of registered branch offices or the number of registered persons associated
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1992-93 NASD® broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to assist members in reviewing, reconciling, and responding to the Final Adjusted Invoice packages that were mailed to all
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
