SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
The Securities and Exchange Commission recently advised the New York Stock Exchange, Inc. (NYSE) and the National Association of Securities Dealers, Inc. (NASD) that a potentially large number of cancelled registered corporate bond
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 16, 1991, the SEC approved an NASD rule change to Article III, Section 3 of the NASD By-Laws that changes who is eligible for designation as the NASD member's executive representative. The executive
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Members are reminded of their obligation that all fees and charges for services must be reasonable and that adequate prior notice be given to customers.
DISCUSSION
Article III, Section 3 of the Rules of
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On January 30, 1992, the United States District Court for the District of Utah appointed a Securities Investor Protection Corporation (SIPC) trustee for:
San Marino Securities, Inc.1245 E. Brickyard Road, Suite 140Salt
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
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 Good Friday, April 17, 1992. "Regular way" transactions made on the business days immediately preceding that day will be subject
