Displaying 30451 - 30460 of 33874 Results
Notice To Members 89-53
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of June 14, 1989, the following 18 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
Notice To Members 89-54
SUGGESTED ROUTING* Senior Management Internal Audit Legal & Compliance Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. The correct effective date for the requirement for daily price and volume reporting on
Notice To Members 89-55
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Trading *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on proposed amendments to the NASD Uniform Practice
RFS
Notice To Members 89-56
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Operations Trading *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on proposed amendments to
Notice To Members 89-57
SUGGESTED ROUTING* Senior Management Legal & Compliance Registration Training *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved amendments to Article IV, Section 3, of the
RFP
Notice To Members 89-58
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY In conjunction with its approval of various amendments to the NASD Code of Arbitration Procedure, the Securities and Exchange Commission recently approved an amendment to Article III, Section 21, of the NASD Rules
Notice To Members 89-59
SUGGESTED ROUTING* Senior ManagementCorporate FinanceInstitutionalSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
RFG