SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Registration
*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 Article III,
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*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 Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules") to require NASD members to make reasonable efforts to obtain additional information
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsMunicipalSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, September 3, 1990, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of July 13, 1990, the following 19 issues joined NASDAQ/NMS, bringing the total number of issues to 2,645:
Symbol
SUGGESTED ROUTING*
Senior Management MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On August 1, 1990, the United States District Court for the District of Colorado appointed a SIPC trustee for:
Blinder, Robinson & Company, Inc.6455 South Yosemite StreetEnglewood, Colorado 80111.
Members may use the "immediate close-
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective July 27, 1990, the NASD implemented a new rule for NASDAQ's Small Order Execution System (
