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Notice to Members 05-43
GUIDANCE NAC Nominations Nomination Deadline: August 1, 2005 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National
Remarks From the Ethics and Leadership Lecture at Dominican University
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
Notice to Members 04-69
GUIDANCEOATS Reporting RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementOATSRule 6950 SeriesExecutive SummaryIn Notice to Members (NtM) 04-46 (June 2004), NASD announced that, beginning December 1, 2004, members would be required to use the Combined New Order/Route and Combined New Order/ Execution Reports (
Notice To Members 95-107
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 15, 1996. On January 15, 1996, The Nasdaq Stock MarketSM
Notice To Members 95-57
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
Notice To Members 94-51
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653: Symbol Company Entry Date SOESSM Execution Level BUCK Buckhead America Corporation 4/28/94 200 MLXR MLX Corp. 4/28/94 200 ABCO American Buildings Company 4/29/94 500 BRKB
Notice To Members 94-99
SUGGESTED ROUTING Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 16, 1995. On January 16, 1995, The Nasdaq Stock Market™ and the
Notice To Members 93-90
SUGGESTED ROUTING Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 17, 1994. On January 17, The Nasdaq Stock MarketSM and the
Notice To Members 93-60
SUGGESTED ROUTING Internal AuditOperationsSystemsTrading As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186: Symbol Company Entry Date SOES Execution Level CFBKP Citizens Federal Bank, A Federal Savings Bank 6/23/93 200 PITC Pittencrieff Communications, Inc. 6/23/93 1000 RCAP Re Capital
Notice To Members 90-36
SUGGESTED ROUTING* Senior Management Legal & Compliance *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on amendments to the NASD By-Laws implementing the recommendations of the Special Committee