Displaying 31671 - 31680 of 34830 Results
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join NASDAQ's National Market System on August 23 and another 50 will join September 20. This will bring the total number of NMS securities to 522. (An additional 43 securities are mandated to join NMS on August 9.) These 100 securities meet the SEC's criteria for voluntary
TO: All NASD Members and Other Interested Persons
On May 31, 1983, the Securities and Exchange Commission ("SEC") approved an amendment to the Association's rules rescinding the Policy of the Board of Governors — Venture Capital and Other Investments by Broker/Dealers Prior to Public Offerings ("Venture Capital Policy"). Simultaneously, the SEC approved an amendment to
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("NASD" or "Association") is announcing a change in its policy with respect to overallotment options for firm commitment offerings. On August 4, 1983, the Securities and Exchange Commission ("SEC") approved an amendment to the Interpretation of the Board of
TO: All NASD Members and Other Interested Persons
On June 2, 1983, the Securities and Exchange Commission ("SEC") approved amendments to Schedule E to Article IV, Section 2 of the Association's By-Laws ("Schedule E") which relates to the distribution of members' own securities and those of affiliates. The amendments became effective upon approval and are applicable
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 5, 1983, in observance of Labor Day. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
TO: All NASD Members
The Association's Board of Governors is publishing for comment a proposed new Rule of Fair Practice relating to permission for members to carry customer accounts. Interested persons are advised that comments must be received by the Association by September 22, 1983, in order to receive consideration. After the comment period has closed, the proposal will again be
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Program Department
The Association is requesting comments on a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice ("Appendix F"). Appendix F relates primarily to public offerings of direct participation programs, most of which are limited partnerships. The amendment
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
An additional 50 issues will voluntarily join the NASDAQ National Market System on October 18, bringing the total number of NMS securities to 571. These 50 issues meet the SEC's criteria for voluntary designation, which include average monthly trading volume of 100,000 shares and a minimum bid price of $5.
The 50
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
"Regular-Way" transactions made on Monday, October 10, Columbus Day and the days immediately preceding this day will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other securities markets will be