Equity Markets Advisory Content

1 See Memorandum to Equity Markets Advisory Committee, No. 1-98, dated December 28, 1998. 2 For purposes of Regulation ATS, the term “covered security” includes all exchange-listed, Nasdaq NM securities, and Nasdaq SmallCap securities, other than debt and convertible securities. 3...

[10917] April 20, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-99 RE: REMINDER - NOTICE OF MEETING - MAY 4, 1999 ______________________________________________________________________________ A meeting of the Equity Markets Advisory Committee has been scheduled for Tuesday, May 4...

[10884] April 9, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-99 RE: NOTICE OF MEETING - MAY 4, 1999 ______________________________________________________________________________ A meeting of the Equity Markets Advisory Committee has been scheduled for Tuesday, May 4, 1999 at the...

[10826] March 23, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-99 RE: INSTITUTE LETTER ON NASD VOLATILITY TRADING HALTS ______________________________________________________________________________ The Institute has sent a letter to the NASD expressing its strong opposition to a...

[10827] March 23, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 7-99 RE: INSTITUTE LETTER ON NYSE END-OF-DAY PRICING OF SECURITIES ______________________________________________________________________________ As you know, the Institute recently met with representatives of the New...

[10806] March 17, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-99 RE: DRAFT ICI LETTER TO NASD ON NASDAQ TRADING HALTS ______________________________________________________________________________ At a meeting later this month, the NASD Board of Directors is expected to consider...

1 Securities Exchange Act Release No. 40968, 64 FR 4729 (January 29, 1999), a copy of which is attached. [10684] January 29, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-99 RE: SEC APPROVES NASD PROPOSAL RELATING TO THE PRE-TRADING QUOTATION PERIOD FOR INITIAL PUBLIC OFFERINGS ___...

[10674] January 26, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 3-99 RE: INSTITUTE COMMENT LETTER ON PROPOSAL TO ESTABLISH THE NASDAQ APPLICATION OF THE OPTIMARK SYSTEM ______________________________________________________________________________ The Institute has filed a comment...

1 See Memorandum to Equity Markets Advisory Committee No. 1-99, dated January 6, 1999. [10664] VIA FAX January 21, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-99 RE: DRAFT INSTITUTE LETTER ON PROPOSAL TO ESTABLISH THE NASDAQ APPLICATION OF THE OPTIMARK SYSTEM ____________________...

1 Securities Exchange Act Release No. 40835, 64 FR 549 (January 5, 1999), a copy of which is attached. 2 A non-member may become a user of the system, provided it is authorized in advance by one or more NASD members who are “Designated Brokers.” 3 The Application would be available...