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TO: All NASD Members and Interested Persons
Listed below is the NASD's 1986 schedule of holidays.
January 1 (Wednesday)
New Year's Day
February 17 (Monday)
Washington's Birthday Observed
March 28 (Friday)
Good Friday
May 26 (Monday)
Memorial Day Observed
July 4 (Friday)
Independence Day
September 1 (Monday)
Labor Day
November 27 (Thursday)
Thanksgiving Day
December
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS AUGUST 6, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposal to amend recently adopted Article III, Section 26(m) of the NASD Rules of Fair Practice. (See Notice to Members 86-54, dated July 30, 1986.) The proposed amendment to Section 26(m) would limit the circumstances under
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 21, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,993. These 20 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to its rules, to Schedule D to the NASD By-Laws, and to the NASD's Transaction Reporting Plan, which will have the effect of: (1) requiring NASDAQ/NMS companies to comply with certain standards of corporate governance; (2) moving NASDAQ/NMS designation criteria
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 22, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Schedule C to the By-Laws that would establish a new level of registration — below the level of "Representative" — for persons in member firms whose activities are limited to providing current securities quotations and
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 4, 1987, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,018. These 30 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
EXECUTIVE SUMMARY
Beginning with the August 15, 1987, administration of the Series 7 General Securities Registered Representative Examination, the NASD will collect a $10 test-development fee from its members for the New York Stock Exchange (NYSE) for each Series 7 grade posted to a candidate's
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury has finalized amendments to the implementing regulations of the Bank Secrecy Act. Also known as the "Currency and Foreign Transactions Reporting Act of 1970," these regulations govern the financial recordkeeping and reporting of currency and foreign transactions. The amendments, which
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 12, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, under Article III, Section 1 of the NASD Rules of Fair Practice. The amendment would require a qualified independent underwriter to provide a pricing opinion