SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of September 25, 1992, the following 35 issues joined the Nasdaq National Market, bringing the total number of issues to 2,934:
Symbol
Company
Entry Date
SOES Execution Level
SNSC
Swing-N-Slide Corp.
8/28/92
1000
ABMD
ABIOMED, Inc.
8/
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposal to rescind the Guidelines and to amend Article III. Section 35 of the Rules of Fair Practice to include items that were contained in the Guidelines and would
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved an amendment to Section 13 of Schedule E to the NASD By-Laws (Schedule E). The amendment permits NASD members to sell securities issued by
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 28, 1992, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 35 of the Rules of Fair Practice and Section 8 of the NASD's Government
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 14, 1992, the Securities and Exchange Commission (SEC) approved an amendment adding new Section 45 to Article III of the Rules of Fair Practice requiring members to send account
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
