SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 1, 1990, the SEC approved an amendment to Schedule H of the NASD By-Laws to require member firms to file specified information with the NASD before initiating (or resuming) a quotation of a non-NASDAQ over-the-
SUGGESTED ROUTING*
Iternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Wednesday, July 4, 1990 in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 14, 1990, the following 21 issues joined NASDAQ/NMS, bringing the total number of issues to 2,658:
Symbol
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*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 add a new section to Part I of Schedule C to the
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Code of Procedure that would create a new procedure
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Articles II and III of the NASD's Code of Procedure ("Code
SUGGESTED ROUTING*
Legal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Central Registration Depository (CRD) was expanded in 1989 to enable firms to file one Form BD for both NASD membership and state licensing requirements. In the operation of this CRD system, it has become evident that states
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved amendments to Part III, Sections 13, 30, 43, and 44 of the NASD Code of Arbitration Procedure that are intended to discourage successive adjournments of arbitration
