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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS APRIL 15, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article I, Section (c) of the NASD By-Laws and Schedule C to the NASD By-Laws that would clarify that branch offices of NASD member firms located outside the United States fall within the definition of "branch office."
The
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 5, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice. The NASD Board of Governors has reviewed the applicablity of recent regulation of short-sale practices by NASD members to various types of
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: April 9, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article IV, Sections 3 and 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice. The amendments to the By-Laws would codify certain internal procedures presently employed by the NASD in processing terminations
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 17, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,802. These 20 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 Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 17, 1987. "Regular way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular Way" Transactions
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 (Act) which provides for the federal regulation of government securities brokers and dealers. The new legislation, which becomes effective on July 25, 1987, creates new Section 15C under the Securities Exchange Act of 1934 (Exchange Act) entitled
TO: All NASD Members and Interested Persons
LAST DATE FOR COMMENT: MAY 1, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article V, Section 1 of the NASD Rules of Fair Practice. The amendment would remove the current limitation of $15,000 that a member or a person associated with a member could be fined for each violation of the Rules of Fair Practice.
The NASD
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 7, 1987, 37 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,847. 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
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Extended Hours Trading Risk Disclosure
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