SUGGESTED ROUTING
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, February 15, 1993, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on February 28, 2003. NASD is proposing to extend the pilot program for TRACE fees to June 30, 2003, to provide a temporary reduction of certain fees for a one calendar month period
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, September 7, 1992, in observance of Labor Day. "Regular way" transactions made on the business days immediately preceding that
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock Market™ will be closed on Friday, July 3, 1992 in observance of Independence Day. "Regular way" transactions made on the business days immediately preceding that
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, May 25, 1992 in observance of Memorial Day. "Regular way" transactions made on the business days immediately preceding that day
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Good Friday, April 17, 1992. "Regular way" transactions made on the business days immediately preceding that day will be subject to the
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, February 17, 1992, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and distribution of
SUGGESTED ROUTING:*
Senior ManagementMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On April 23, 1991, the United States District Court for Connecticut appointed the Securities Investor Protection Corporation (SIPC) trustee for:
Gateway Securities, Inc.45 E. Putnam AvenueGreenwich, CT 06830.
Questions regarding the firm should be
The MSRB G-32 Report Card is a monthly status report to help firms evaluate the timeliness of their required filings under Municipal Securities Rulemaking Board (MSRB) Rule G-32. Amended Rule G-32, which became effective on June 1, 2009, consolidated the filing requirements of former Rule G-36 and the official statement delivery requirements of Rule G-32. The new rule establishes the MSRB's
