SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1991-92 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for
SUGGESTED ROUTING:*
Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 12, 1991, the NASD activated enhancements to the Firm Access Query System (FAQS) that will enable subscribers to more efficiently process Forms U-5 and access certain registration information about their
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Registration (Form U-5). The changes to Form U-4 include
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
At the present time, many certificates of deposit held by individuals are expiring. There has been an intensive marketing effort by some mutual funds and many NASD members to persuade such individuals to invest in bond mutual
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On September 12, 1991, the United States District Court for the Eastern District of Texas (Tyler) appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Affiliated Security Brokers, Inc.115 East Erwin
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Wednesday, December 25, 1991, Christmas Day, and Wednesday, January 1, 1992, New Year's Day. "Regular way" transactions made
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
