The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 5, 1996. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date *
Apr. 1
Apr. 4
Apr. 9
2
8
Last Voting Date: February 16, 1996
Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws that will require members to file electronically Forms U-4, U-5, and BD and amendments thereto. These amendments also establish time periods for when such filings must be made. Ballots must be postmarked no later than February 16, 1996.
Text of the amendment
Executive Summary
On November 8, 1995, in Rel. No. 34-36466; SR-NASD-95-45, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 4 of the NASD® By-Laws to conform the NASD's eligibility criteria to changes adopted by Congress in 1990 to the statutory disqualification provisions found in Sections 3(a)(39) and 15(b)(4) of the Securities Exchange Act of
Executive Summary
On December 28, 1995, the National Association of Securities Dealers, Inc., (NASD) filed with the Securities and Exchange Commission (SEC) for its approval rules governing members conducting business on the premises of a financial institution (proposed rules). The proposed rules focus on issues of investor confusion involving the purchase of uninsured securities products and,
Executive Summary
The 1995-96 NASD broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to help members review, reconcile, and respond to the Final Adjusted Invoice packages that mailed to all member firms in mid-January.
Questions regarding this Notice may be directed to your firm's assigned Quality &
