SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of July 12, 1989, the following 16 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market to
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 11, 1989, the following 28 issues joined the NASDAQ National Market, bringing the total number of issues in the NASDAQ National Market
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOptions
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Appendix E to Article III, Section 33, of the NASD Rules of Fair Practice. These amendments will require members to develop and maintain written
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The NASD Trading Committee, after a recent study, decided that a $10,000 principal amount should continue to be considered the "normal" unit of trading for NASDAQ-listed convertible debentures.
The decision, confirming a
