Displaying 30601 - 30610 of 34834 Results
Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to convert
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On January 26, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Article VI, Section 3 of the NASD By-Laws that permits the NASD to institute revocation proceedings against any member or associated person that fails to pay an arbitration award rendered by an NASD panel if a timely motion
SUGGESTED ROUTING
Senior ManagementOperations
Executive Summary
On January 14, 1993, the Securities and Exchange Commission (SEC) approved amendments to Sections 59 and 65 of the NASD's Uniform Practice Code (UPC) establishing close-out procedures for instruments based on the performance of an index, currency, or other measure and establishing close-out and fail procedures to be used in
Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesLegal & Compliance
Executive Summary
On January 27, 1993, the Securities and Exchange Commission (SEC) approved the NASD's Collateralized Mortgage Obligations Advertising Guidelines (Guidelines). The Guidelines provide a framework for members to assess the accuracy and appropriateness of Collateralized Mortgage Obligations
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceSyndicate
Executive Summary
The NASD is reminding members that Section 66 of the NASD Uniform Practice Code (UPC) requires syndicate managers to settle syndicate accounts within 90 days of the syndicate settlement date. Members are, therefore, reminded to mail or, where appropriate, deliver checks to syndicate participants no later
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceSyndicate
Executive Summary
The NASD and five other securities industry self-regulatory organizations (SROs) have agreed to develop a single continuing education program for all securities industry registered representatives and principals. Furthermore, the NASD has agreed to remain flexible over the question of whether an
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 9, 1993. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
April 1
8
13
2
12
14
5
13
15
6
14
On Friday, October 17, 2014, at 11:05:06 a.m. ET, the Financial Industry Regulatory Authority, Inc. (FINRA) halted quoting and trading in all OTC equity securities pursuant to FINRA Rule 6440(a)(3).
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of February 22, 1993, the following 44 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,998:
Symbol
Company
Entry Date
SOES Execution Level
PHSV
Physicians Health Svcs, Inc. (Cl A)
1/22/93
1000
CEGE
Cell Genesys, Inc.
1/26/93
500
BSRF
BioSurface Technology, Inc.
1/27/93
1000
CANXB