TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 20, 1986. On Monday, January 20, 1986, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 24, 1986
BACKGROUND
In Notice to Members 85-58, dated August 30, 1985, the NASD solicited comments from members and other interested persons on a proposed new rule (new paragraph (m) Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 30, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comment on two proposed amendments to the NASD Rules of Fair Practice. The proposed amendments would require members to (a) mark all customer order tickets "long" or "short" and (b) make an affirmative
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 7, 1986, 29 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,214. These 29 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc., has adopted amendments to the Venture Capital Restrictions of the Corporate Financing Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice, which apply to venture capital investments by NASD members and certain of their associated and affiliated control persons prior
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the fourth quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-65
October 1, 1985
SIPC Trustee
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 21, 1986, 16 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,218. These 16 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2014. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares will be effective December 31, 2014. To view changes, visit the Daily List: Security Attribute Changes page, select the "Unit of Trades" filter and enter
TO: All NASD Members and Other Interested Persons
On December 19, 1985, the Securities and Exchange Commission approved a new Article III, Section 41 of the NASD Rules of Fair Practice (SEC Release No. 34-22731). The rule establishes a new requirement for members to maintain a record of their total "short" positions in NASDAQ securities in all customer and proprietary firm accounts and
