SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of February 23, 1995, the following 41 issues joined the Nasdaq National Market, bringing the total number of issues to 3,742:
Symbol
Company
Entry Date
SOES Execution Level
ATVI
Activision, Inc.
1/27/95
200
DZTK
Daisytek International
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of February 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
HECH.GA
Hechinger Co.
9.450
11/15/12
GRDH.GA
Great
Comment Period Expires April 21, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the NASD Board of Governors approved the issuance of a Notice to Members, soliciting comment on a proposal for comprehensive structural changes in The Nasdaq Stock Market™ through the
Comment Period Expires: May 17, 1995
SUGGESTED ROUTING
Senior Management
Debt Department
Equity Department
Government Securities
Institutional
Legal & Compliance
Trading
Executive Summary
The NASD requests member comment on a proposed Interpretation of the NASD Board of Governors to Article III, Section 2 of the NASD Rules of Fair Practice (RFP). The
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Mutual Fund
Executive Summary
On March 2, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 44 of the Rules of Fair Practice (Corporate Financing Rule) to exempt modified guaranteed annuity contracts and modified guaranteed life insurance contracts from
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Municipal
Syndicate
Trading
Training
Executive Summary
On November 10, 1994, the Securities and Exchange Commission (SEC) adopted amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 (Act) that prohibit broker/dealers from underwriting and recommending municipal securities for which
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-1, which establishes three business days as the standard time period for settling transactions in most securities (T+3), is effective June 7,
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Trading
Training
Executive Summary
As a result of recent amendments to the Free-Riding and Withholding Interpretation of the NASD Board of Governors under Article III, Section 1 of the NASD Rules of Fair Practice, the NASD revised the questionnaire that is used to review
