Displaying 711 - 720 of 34823 Results
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Executive Summary
The NASD has filed with the Securities and Exchange Commission (SEC) a proposal to amend Article III, Sections 26 and 29 of the NASD Rules of Fair Practice to revise existing rules applicable to the sale of investment company securities and establish new rules
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of June 27, 1995, the following 57 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,804:
Symbol
Company
Entry Date
SOES Execution Level
IBNJ
Independence Bancorp, Inc.
5/26/95
200
NINE
Number Nine Visual Technology Corp.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 27, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
DOHJ.GA
Doehler-Jarvis
11.875
6/1/02
TEXN.GC
Tex-N.M. Power
10.000
7/1/
Effective August 1, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
At its July 1995 meeting, the NASD® Board of Governors approved temporary fee increases for certain agent registration filings to help fund the redesign and implementation of the Central Registration Depository (CRD). The following fee increases are effective August 1, 1995:
Comment Period Expires August 30, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On July 14, 1995, the NASD® Board of Governors approved the issuance of a Notice to Members to solicit comment on the refined proposal for a nationwide limit-order protection and price improvement facility. Referred
Last Voting Date: September 25, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
The NASD® invites members to vote on proposed amendments to Article II, Section 4 of the NASD By-Laws that will conform the NASD's eligibility criteria to changes adopted by Congress in 1990 to the statutory disqualification provisions found in
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Operations
Executive Summary
On July 19, 1995, the Securities and Exchange Commission (SEC) approved new NASD Mediation Rules (Rules) to take effect August 1, 1995. The new Rules provide a structure for the NASD to administer a Mediation Program as an informal and less adversarial alternative to arbitration for the
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Training
Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for which an
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Training
Executive Summary
On July 3, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice and Part I of Schedule D to the NASD By-Laws to exclude investment companies and business development companies from
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD will soon file its proposed revision of the NASD Manual with the Securities and Exchange Commission (SEC) for approval, which is expected later this year. Following SEC approval, the NASD will direct the Commerce Clearing House and vendors providing electronic versions of the NASD Manual to convert the