Displaying 4981 - 4990 of 34834 Results
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of May 22, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CNC.GC
Conseco Inc.
6.400
02/10/03
CNC.GD
Conseco Inc.
7.875
12
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Independence Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Tuesday, July 4, 2000, in
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock Market®) to
INFORMATIONAL
Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Rule 2260IM-2260
Debt Securities
Operations
Forwarding of Communications
Executive Summary
On April 11, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 22601 that require a broker/dealer to make reasonable efforts to forward
Reporting of Criminal Offenses
Effective Date: July 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On May 15, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3070, concerning the reporting of criminal offenses by members and
INFORMATIONAL
Margin Disclosure and Day-Trading Risk Disclosure Statements
Effective Date: July 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Day-Trading Risk Disclosure Statements
INFORMATIONAL
Fixed Income Pricing SystemSM
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Trading
FIPS
As of April 23, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ACGH.GA
American Color Graphics Inc.
12.750
08/01/05
AMWA.GB
America West Airlines Inc.
0.000
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.
Revision to Net Capital Treatment of Clearing Agreement Penalty Clauses
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Thursday, July 4, 2002, in observance of Independence Day. "Regular way"