SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM):
Symbol
Name
Coupon
Maturity
BG.GA
Brown Group
7.375
1/15/98
PRWL.GB
Price Cellular Wireless
12.250
10/1/03
UAL.GH
United Air
10.110
2/19/06
UAL.GI
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to Articles VII and X
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® Select Committee on Structure and Governance (Select Committee), also known as the Rudman Committee, has proposed significant changes to the manner in which the NASD operates. After substantial discussion, the NASD Board of Governors adopted the proposals in substantially the form recommended by the
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Municipal
Training
Executive Summary
On October 20, 1995, the Securities and Exchange Commission (SEC) approved a statement of policy that establishes internal NASD® procedures delegating to the NASD staff and the NASD Fixed Income Committee the authority to review requests by members for exemptions
SUGGESTED ROUTING
Registration
Training
Expanded Sign-In Procedures
Concerns always exist regarding proper identification of candidates who are taking exams and training. A single finger imprint procedure will be added to our sign-in procedure to help address this issue.
Effective February 1, 1996, all candidates taking computerized NASD® exams or Continuing Education Program training
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) issued a revised Form 4789, Currency Transaction Report (CTR), under the Bank Secrecy Act (BSA). CTRs are used to file reports of deposits, withdrawals, exchanges of currency, or other payments or transfers involving a transaction in
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Operations
Systems
Trading
The NASD® will observe the following holiday schedule for 1996:
January 1
New Year's Day
February 19
President's Day
April 5
Good Friday
May 27
Memorial Day
July 4
Independence Day
September 2
Labor Day
November 28
Thanksgiving Day
December 25
Christmas Day
Questions regarding
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 15, 1996. On January 15, 1996, The Nasdaq Stock MarketSM and the
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of November 20, 1995, the following 76 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,946:
Symbol
Company
Entry Date
SOES Execution Level
ARGL
Argyle Television, Inc. (Cl A)
10/24/95
1000
ETEC
Etec Systems, Inc.
10/24/
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of November 29, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
MMG.GA
Metromedia Int'l Group
9.875
3/15/97
MMG.GB
Metromedia Int'l Group
10.000
10/1/99
MMG.GC
Metromedia
