INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Municipal/Government Securities
Operations
Trading and Market Making
Holiday Trade Date—Settlement
Date Schedule
Martin Luther King, Jr., Day:
Trade Date—Settlement Date Schedule
The NASDAQ Stock Market® and the securities exchanges will be closed on
SUGGESTED ROUTING:*
OperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Uniform Practice Code (Code or UPC) to update and amend, where necessary, provisions that were obsolete or that did not conform to current industry
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of August 21, 1995, the following 59 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,863:
Symbol
Company
Entry Date
SOES Execution Level
CBXC
Cybex Computer Products Corporation
7/28/95
500
FLCN
Falcon Drilling
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of May 25, 1995, the following 47 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,781:
Symbol
Company
Entry Date
SOES Execution Level
REPS
Republic Engineered Steels, Inc.
4/28/95
500
PLSIA
Premier Laser
Placing limit orders in ECNs that comply with the ECN Display Alternative under the SEC's Order Handling Rules in order to affect the price of transactions effected through POSIT may constitute market manipulation in violation of the antifraud provisions of the securities laws and NASD rules.
Placing limit orders in ECNs that comply with the ECN Display Alternative under the SEC's Order Handling Rules in order to affect the price of transactions effected through POSIT may constitute market manipulation in violation of the antifraud provisions of the securities laws and NASD rules.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of April 27, 1995, the following 53 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,761:
Symbol
Company
Entry Date
SOES Execution Level
SMTC
Semtech Corp.
3/28/95
500
DSTM
Datastream Systems, Inc.
3/29/95
500
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of April 27, 1994, the following 66 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,610:
Symbol
Company
Entry Date
SOESSM Execution Level
ADAX
Applied Digital Access, Inc.
3/29/94
500
CMSH
Cameron Ashley Inc.
3/29/94
500
CHPP
Champps Entertainment, Inc.
3/29/94
SUGGESTED ROUTING
Legal & ComplianceOperationsSystems Trading
As of October 27, 1994, the following 45 issues joined the Nasdaq National Market, bringing the total number of issues to 3,732:
Symbol
Company
Entry Date
SOES Execution Level
MTLG
Metrologic Instruments, Inc.
9/29/94
500
ALRM
Protection One, Inc.
9/29/94
1000
GCHI
Giant Cement Holding, Inc.
9/30/94
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of August 29, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,707:
Symbol
Company
Entry Date
SOES Execution Level
DSYT
Dorsey Trailers, Inc.
7/28/94
500
RFMI
R F Monolithics, Inc.
7/28/94
200
CIMA
OMA LABS INC.
7/29/94
1000
CSCC
Cascade
