Displaying 9711 - 9720 of 33882 Results
Notice To Members 89-46
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of May 15, 1989, the following 18 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,798
Notice To Members 89-47
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Registration *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to Article IV,
RP
Notice To Members 89-48
SUGGESTED ROUTING* Senior Management Internal Audit Legal & Compliance Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY Effective August 1, 1989, the requirement to report daily price
Notice To Members 89-49
SUGGESTED ROUTING* Internal AuditLegal & ComplianceOperationsRegistration *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission has approved amendments to Parts II and III of Schedule C of the NASD By-Laws that will require a member to submit applications for and maintain the registrations of only
RMA
Notice To Members 89-50
SUGGESTED ROUTING* Legal & ComplianceOperationsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD has initiated an electronic filing system for use by members in submitting Regulation T/SEC Rule 15c3-3 extension requests. Subscribers to this Automated Regulatory Reporting System (ARRS) are encouraged to submit
Notice To Members 89-51
SUGGESTED ROUTING* Internal Audit Legal & Compliance Mutual Fund Operations Training *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD requests comments on proposed amendments to subsections (b)(7) — Definitions
RIS
Notice To Members 89-52
SUGGESTED ROUTING* Legal & Compliance Registration Training *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved an amendment to Schedule C of the By-Laws that establishes waiting