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Notice to Members 97-80
Effective: Immediately SUGGESTED ROUTING Corporate Finance Legal & Compliance Syndicate Trading Executive Summary On October 3, 1997, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, amendments to National Association of Securities Dealers, Inc
Notice to Members 97-81
Comment Period Expires: January 9, 1998 SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Syndicate Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2810 (DPP Rule or Rule) that would modify the compensation that members are
Notice to Members 99-24
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of January 21, 1999, the following bonds were added to the Fixed
Notice to Members 97-72
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Tuesday, November 11, 1997, and Thanksgiving
Notice to Members 99-25
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Good Friday: Trade Date—Settlement Date Schedule The Nasdaq Stock
Notice to Members - March 1999
Various updates.
Notice to Members 97-73
SUGGESTED ROUTING   Senior Management Corporate Finance Institutional Legal & Compliance Municipal Operations Systems Trading As of September 23, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM). Symbol Name Coupon Maturity UH.GC U.S. Home Corp 8.250 08/15/04 UH.GD U.S. Home Corp 8.880 08/15/07 HU.GA
Supervoters and Stocks: What Investors Should Know About Dual-Class Voting Structures
The financial world of investing is filled with mathematical complexity, from the quantitative analysis behind certain trading strategies to the calculus used to determine the pricing of derivatives. But investors in most publicly traded companies can rely on one rather simple ratio: 1 to 1.
Get Off the Bench: A Look at Benchmarks
Benchmarks play a valuable role for investors, providing a standard against which to measure an investment’s performance. Weighing the return on a particular stock, bond mutual fund or exchange-traded fund (ETF) against a comparable benchmark can help investors make more informed decisions on how to invest.
Notice to Members 97-74
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary On September 26, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the National Association of Securities Dealers, Inc. (NASD®) short sale rule to provide that a "legal" short sale can be effected at a price equal to or greater than the offer price