TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 15, 1986, 37 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,307. These 37 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 28, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment that would provide limited exemptions for certain persons purchasing securities in connection with the conversion to stock ownership of mutual savings and loan associations, savings banks and certain
TO: All NASD Members and Other Interested Persons
ATTN: Corporate Financing Department
The National Association of Securities Dealers, Inc. (NASD), has adopted amendments to the Filing Requirements Section of the Interpretation of the Board of Governors — Review of Corporate Financing, Article III, Section 1 of the NASD Rules of Fair Practice (Corporate Financing Interpretation) which are
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 22, 1986
The National Association of Securities Dealers, Inc. (NASD), has approved proposed amendments to Schedule E to the NASD By-Laws that are intended to clarify the scope and application of the schedule. Schedule E contains various requirements applicable to the public offering of a member's securities or
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS MAY 23, 1986
Members of the National Association of Securities Dealers, Inc. (NASD), are invited to vote on a proposed amendment to Article III, Section 21 of the NASD Rules of Fair Practice. The proposed amendment has been approved by the NASD Board of Governors and now
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the first quarter of 1986. 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
86-1
January 2, 1986
Amendments to Venture
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 25, 1986
The Board of Governors of the National Association of Securities Dealers, Inc. (NASD), is seeking comments on a proposed amendment to Article III, Section 19(f) of the NASD Rules of Fair Practice, which would, under certain circumstances, allow performance-type fees. Section 19(f) generally prohibits members or
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 6, 1986, 36 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,337. These 36 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
Attn: Corporate Financing Department
LAST DATE FOR COMMENT: June 6, 1986
The Board of Governors of the National Association of Securities Dealers, Inc. has approved a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, Article III, Section 1 of the NASD Rules of Fair Practice (the Corporate Financing
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 20, 1986, 28 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,363. These 28 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
