Displaying 9751 - 9760 of 33882 Results
Notice To Members 89-75
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of October 12, 1989, the following nine issues joined the NASDAQ National Market, bringing the total number of issues to 2,718
Notice To Members 89-76
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTrading *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT EXECUTIVE SUMMARY Participation in the Securities and Exchange Commission-approved Automated Confirmation Transaction (ACT) service will become mandatory for all self-clearing firms during the first quarter of 1990. The
PPC
Notice To Members 89-77
SUGGESTED ROUTING* Senior Management Legal & Compliance Mutual Fund Training *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on a proposal to amend the NASD confirmation rule,
Notice To Members 89-78
SUGGESTED ROUTING* Legal & ComplianceOperationOptionsRegistrationTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2,
PFS
Notice To Members 89-79
SUGGESTED ROUTING* Internal AuditLegal & ComplianceOperationsSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The NASD will observe the following holiday schedule in 1990: January 1 New Year's Day July 4 Independence Day February 19 Presidents'Day September 3 Labor Day April 13 Good Friday November 24
Notice To Members 89-80
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed Monday, December 25, 1989, Christmas Day, and Monday, January 1, 1990, New Year's Day. "Regular way" transactions made on the business days
MFP
Notice To Members 89-81
SUGGESTED ROUTING* Internal Audit Operations Systems Trading *These are suggested departments only. Others may be appropriate for your firm. As of November 13, 1989, the following 19 issues joined the NASDAQ National Market, bringing the total number of issues to 2,712