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IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 2, 1985, in observance of Labor Day. "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
ATTN: Operations Officer, Cashier, Fail-Control Department
On August 13, 1985, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-51 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be directed to:
SIPC Trustee
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 3, 1985, 24 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,111. These 24 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 24 issues scheduled to join NASDAQ/NMS on Tuesday, September 3, 1985, are:
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 30, 1985
The National Association of Securities Dealers, Inc. (NASD), is soliciting comments from members and other interested persons on a proposed new rule (new paragraph (m), Article III, Section 26, NASD Rules of Fair Practice) that would govern the prompt payment by NASD members for investment company shares.
TO: All NASD Members and Other Interested Persons
ATTN: Syndicate Department
The NASD has adopted an amendment to its Uniform Practice Code to require syndicate managers to settle syndicate accounts within 120 days of the syndicate settlement date. The text of the amendment, which will be effective October 1, 1985, is attached.
Explanation Of Proposed Amendment
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On September 4, 1985, the Federal District Court for the Eastern District of Arkansas appointed a SIPC Trustee for the above captioned firm.
Please refer to Notice to Members 85-28 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be directed to:
SIPC Trustee
TO: All NASD Members and Other Interested Persons
In a recent letter to the NASD (see the enclosure), the Securities and Exchange Commission's Division of Market Regulation expressed concern that certain brokers and dealers may have entered into agreements with their clearing entities that violate the provisions of the Commission's hypothecation rules (8c-l and 15c2-l). These rules are designed, among other things, to prevent brokers or dealers from commingling customers' and firm securities to collateralize the same loan.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 17, 1985, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/ NMS to 2,118. These 21 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary designation.
The 21 issues scheduled to join NASDAQ/NMS on Tuesday, September 17, 1985, are:
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Transactions made on Monday, October 14, Columbus Day; Tuesday, November 5, Election Day; and Monday, November 11, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other securities markets will be open on these days, many banking institutions will be closed.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions