SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved new Schedule H to the
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to Article III, Section 19(f) of the NASD Rules of Fair Practice governing sharing in customer accounts by members and by persons associated with
SUGGESTED ROUTING*
Legal & ComplianceRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved two revisions to Form BD, the Uniform Registration Application for Broker-Dealers, under the Securities Exchange Act of 1934. These revisions, which are effective August 1,
SUGGESTED ROUTING*
Corporate Finance
Institutional
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System
SUGGESTED ROUTING*
Senior ManagementOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
The first-Saturday exam session date for September has been changed to August 27,1988, for all test centers because of the Labor Day holiday, which falls during the first weekend of the month.
Requests for appointments for the August 27
session must be
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTraining
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, September 5, 1988, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule
SUGGESTED ROUTING*
Senior ManagementOperationsResearch
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the second quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C.
SUGGESTED ROUTING*
Senior Management Legal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Small Order Execution System (SOES) was created to allow public customers to enter orders of limited size into the NASDAQ System for immediate execution at the best available price. Section 3(c) of the SOES
SUGGESTED ROUTING*
Senior Management Corporate Finance SyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
