As of December 28, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
CBBS.GA
CBS Inc
7.625
1/1/02
CBBS.GB
CBS Inc
7.750
6/1/99
CBBS.GC
CBS Inc
7.125
11/1/23
CBBS.GD
CBS Inc
8.875
6/1/22
CMS.GC
CMS Energy
7.000
6/15/00
CMS.GD
CMS Energy
7.000
7/15/00
CMS.GE
CMS Energy
7.000
7/15/00
CMS.GF
CMS Energy
8.000
7/15/02
Executive Summary
On December 28, 1995, the Securities and Exchange Commission (SEC) approved amendments to Section 59 of the Uniform Practice Code (UPC). The amendments clarify that the delivery deadlines that may be specified in buy-in notices issued pursuant to Section 59 may not specify a delivery time earlier than 3 p.m., Eastern Time (ET), for depository eligible securities. The
Executive Summary
On December 20, 1995, the Securities and Exchange Commission (SEC) approved a proposed Rule change by the NASO® that prohibits NASO members from executing over-the counter transactions in an exchange listed security that is the subject of an initial public offering (IPO) until the security has opened for trading on the exchange that lists the security. The Rule change
Executive Summary
On September 6, 1995, the expanded Limit-Order Protection Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from trading ahead of customer limit orders (commonly known as Manning II) became fully effective. The expanded Interpretation extends the scope of limit-order protection in The Nasdaq Stock MarketSM to ensure that
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research Reports
Rule 1050
Supervision
Executive Summary
&
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research Reports
Rule 1050
Supervision
Executive Summary
In
GUIDANCE AND REQUEST FOR COMMENT
Regulatory Transaction Fees
Comment Period Expires March 30, 2005
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KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Regulatory Transaction Fees
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice
GUIDANCE
Arbitration Time Limits
Effective Date: May 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Arbitration
Dispute Resolution
Eligibility of Arbitration Claims
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to Rule 10304 of the NASD Code of Arbitration
Procedure (Code) relating to time limits on
GUIDANCE
Predispute Arbitration Agreements
Effective Date: May 1, 2005
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Books and Records
Predispute Arbitration
