Executing Broker Symbols: Rule G-14

(Volume 17, Number 1) JANUARY 1997

Executing Broker Symbols: Rule G-14

Route To: Manager, Muni Department Trading Sales Operations Compliance

Notice Rule G-14 requires that every dealer obtain an executing broker symbol.

Questions about this notice may be directed to the Board's Transaction Reporting Depatrment.

Board rule G-14 on Transaction Reporting requires that every dealer obtain an executing broker symbol, if one has not already been assigned, from the National Association of Securities Dealers (NASD). The NASD will assign executing broker symbols to all dealers including bank dealers that are not members of the NASD. NASDAQ Subscriber Services can be reached at(800)777-5606. When calling the NASD for an executing broker symbol dealers should state that they need the symbol for use in reporting transactions in municipal securities to the Board. If dealers experience difficulties in obtaining executing broker symbols, please contact Joe Radzicki of NASDAQ at (203) 385-6306.

December 16, 1996

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