Displaying 30551 - 30560 of 33874 Results
Notice To Members 90-43
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on a proposal to add a new section to Part I of Schedule C to the
CWMC
Notice To Members 90-44
SUGGESTED ROUTING* Senior Management Legal & Compliance Training *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission has approved an amendment to the Code of Procedure that would create a new procedure
Notice To Members 90-45
SUGGESTED ROUTING* Senior Management Legal & Compliance *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission has approved amendments to Articles II and III of the NASD's Code of Procedure ("Code
CWM
Notice To Members 90-46
SUGGESTED ROUTING* Legal & ComplianceRegistrationTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Central Registration Depository (CRD) was expanded in 1989 to enable firms to file one Form BD for both NASD membership and state licensing requirements. In the operation of this CRD system, it has become evident that states
Notice To Members 90-47
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) has approved amendments to Part III, Sections 13, 30, 43, and 44 of the NASD Code of Arbitration Procedure that are intended to discourage successive adjournments of arbitration
CWC
Notice To Members 90-48
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of June 14, 1990, the following 30 issues joined NASDAQ/NMS, bringing the total number of issues to 2,647: Symbol
Notice To Members 90-49
SUGGESTED ROUTING* Senior ManagementMunicipalOperationsSystems *These are suggested departments only. Others may be appropriate for your firm. On June 22, 1990, the United States District Court for the Northern District of Ohio appointed a SIPC trustee for: First Ohio Securities CompanyTwo Park Plaza1111 Chester AvenueCleveland, OH 44114. Members may use the "immediate close-out"