Notice To Members 83-12
TO: All NASD Members and Other Interested Persons
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
TO: All NASD Members and Other Interested Persons
TO: All NASD Members and Other Interested Persons
ATTENTION: Direct Participation Programs Department
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1983. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
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Trade Date |
TO: All NASD Members and Other Interested Persons
TO: All NASD Members
The Securities and Exchange Commission has approved amendments to Article III, Section 28 of the Association's Rules of Fair Practice and the amendments are hereby declared effective as of May 1, 1983. These amendments were previously approved by the Association's Board of Governors and by a vote of the membership.
TO: All NASD Members and NASDAQ Level 2 and Level 3 Subscribers
TO: All NASD Members, NASDAQ Foreign Issuers and Other Interested Persons
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
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Notice Number |
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TO: All NASD Members
The New York Regional Office of the Securities and Exchange Commission has asked the NASD to provide members with a notice regarding the activities of Gerald Greenspan outlined below.