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Notice To Members 90-1
SUGGESTED ROUTING* Legal & ComplianceOperationsRegistrationTraining *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 Schedule C to the NASD By-Laws that will require members to disclose to applicants for registration the specific purpose of any fees collected
MCEP
Notice To Members 90-2
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceRegistrationTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD reminds members that have employed a statutorily disqualified person of the seriousness with which the NASD views these members' obligation to adequately discharge their supervisory responsibilities
Notice To Members 90-3
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsRegistration *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The 1989-90 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and responding to the
Notice To Members 90-4
SUGGESTED ROUTING* Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading *These are suggested departments only. Others may be appropriate for your firm. Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The
Notice To Members 90-5
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of December 12, 1989, the following 33 issues joined the NASDAQ National Market, bringing the total number of issues to 2,713
Notice To Members 90-6
SUGGESTED ROUTING* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1989. Duplicate copies are available at $15 per monthly issue.
Notice To Members 90-7
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, February 19, 1990, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
FSS
Notice To Members 90-8
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of January 11, 1990, the following 18 issues joined NASDAQ/NMS, bringing the total number of issues to 2,694: Symbol