SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Training
Executive Summary
Under SEC approved procedures, NASD Regulation, Inc. (NASD RegulationSM) reviews member requests for exemption from the two-year prohibition of municipal securities underwriting business contained in Rule G-37 (Rule) of the Municipal Securities Rulemaking
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Operations
Syndicate
Trading
Executive Summary
On June 27, 1997, the Securities and Exchange Commission (SEC) approved amendments to NASD® Rules 4611(d) and 4612(g) with regard to market maker registration and Primary Market Maker (PMM) eligibility by managers and co-managers of secondary offerings.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Labor Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 1,1997, in observance of Labor Day. "Regular way" transactions made on the business days noted below
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of July 25, 1997, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
OEC.GA
Ohio Edison Co
7.500
08/01/02
OEC.GB
Ohio Edison Co
8.750
02/15/98
OEC.GC
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On November 26, 1997, the Securities and Exchange Commission (SEC or Commission) approved changes to National Association of Securities Dealers, Inc. (NASD®) rules governing trading in exchange-listed securities in the over-the-counter market (the Third Market). The amendments: (1)
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National
Changes Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
NASD Rule 11890
Executive Summary
On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining
Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting
Executive Summary
On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved
MSRB Rules G-12 and G-14
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Senior Management
MSRB Rules G-12 MSRB Rules G-14 Transaction Reporting
Executive Summary
NASD reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (MSRB) Rules G-12 and G-14, particularly the requirement that member firms
