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1996

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NASD Rule Filing Status

96-91 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1996

96-90 Trade Date — Settlement Date Schedule For 1997

96-89 NASD 1997 Holiday Schedule

96-88 SOES Tier Levels Set To Change January 2, 1997

96-87 NASD Regulation PROCTOR Transition To Sylvan Continues

96-86 NASD Regulation Reminds Members And Associated Persons That Sales Of Variable Contracts Are Subject To NASD Suitability Requirements

96-85 Customer Complaint Reporting Rule Update

96-84 NASD Regulation Solicits Comment On The Use Of Bond Mutual Fund Risk Ratings In Supplemental Sales Literature

96-83 NASD Regulation Solicits Comment On Proposed Rule Relating To Prohibition On Members Receiving Any Payment To Publish A Quotation, Make A Market In An Issuer's Securities, Or Submit An Application In Connection Therewith

96-82 NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence

96-81 SEC Transaction Fees Begin January 1, 1997, On Nasdaq And Other Prompt Last Sale Reported Non-Debt Transactions

For Your Information For December

96-80 SEC Requests Comments On Proposed Amendments To SEC Rules 17a-3 And 17a-4

96-79 Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996

96-78 Christmas Day And New Year's Day: Trade Date—Settlement Date Schedule

96-77 CRD Will Provide Firms With Advisory Messages When Significant Disciplinary Actions Require Reentry Of Individuals Into The Regulatory Element Of The Continuing Education Program

96-76 SEC Approves Amendment To IM-8310-2 Regarding The Availability Of Disciplinary Complaints And Disciplinary Decisions Upon Request

96-75 Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996

96-74 Veterans' Day And Thanksgiving Day: Trade Date—Settlement Date Schedule

96-73 Members Reminded To Report Executive Representative And Address Changes

96-72 NASD Regulation Computerized Delivery Site Transition To Sylvan Continues

96-71 Broker/Dealer And Agent Renewals For 1997

96-70 NASD Reminds Members Of Prohibition Against Commercial Use Of Information Filed Under The Federal Election Campaign Act

96-69 Industry/Regulatory Council On Continuing Education Issues Update On The Status Of The Securities Industry Continuing Education Program

96-68 NASD Solicits Member Comment On Proposed Rules Relating To Prospectus Disclosure Of Cash And Non-Cash Compensation For The Sale Of Investment Company Securities

96-67 Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds

96-66 SEC Expands Scope Of Conduct Rules And Other NASD Rules To Government Securities; Approves New Suitability Interpretation

96-65 New SEC Rules On Order Handling And Execution Of Customer Orders

96-64 Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996

96-63 Columbus Day: Trade Date — Settlement Date Schedule

96-62 SOES Tier Levels Set To Change October 1, 1996

96-61 NASD Regulation Computerized Delivery Site Transition Continues

96-60 Clarification Of Members' Suitability Responsibilities Under NASD Rules With Special Emphasis On Member Activities In Speculative And Low-Priced Securities

96-59 NASD Solicits Member Comment On Proposed Rule Governing Tape Recording Of Telephone Conversations

96-58 Approval Of Amendments That Require Members To Provide Information To Other Regulators For Regulatory Purposes

96-57 Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996

96-56 Labor Day: Trade Date — Settlement Date Schedule

96-55 NASD Regulation Offers Software To Help Members Comply With Continuing Education Requirements

96-54 NASD Regulation Reminds Members Of Reporting Obligations Of MSRB Rules G-37 And G-38, And Announces Sanction Guidelines For Failure To Report Form G-37/G-38

96-53 Approval Of Amendments To The Definitions Of Bona Fide Independent Market And Bona Fide Independent Market Maker

96-52 NASD Solicits Member Comments On Proposed Rules Relating To The Sale Of Variable Life Insurance Contracts And Variable Annuity Contracts

96-51 Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996

96-50 Supervisory And Other Obligations Related To Use Of Electronic Media

96-49 Members Reminded To Report Address, Contact Changes To NASD

96-48 New London Training Center; Registered Representatives In England, Scotland, And Wales Must Comply With Continuing Education Requirements

96-47 NASD Regulation, Inc., Expanding Computerized Delivery Sites

96-46 CRD Disclosure Conversion

96-45 NASD Appoints Ombudsman

96-44 NASD Interprets NASD Rule 2110 And Files Telemarketing Rule Changes With SEC

96-43 SEC Approves NASD By-Laws Amendments Regarding Gross Revenue

96-42 Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996

96-41 Independence Day: Trade Date — Settlement Date Schedule

96-40 SOES Tier Levels Set To Change July 1, 1996

96-39 Request For Comments On Proposed Changes To Regulations G, T, And U

96-38 Treasury Issues Letter Clarifying Recordkeeping Requirements For Forward Settling Repurchase Agreement Transactions

96-37 Fed Approves Amendments To Regulation T

96-36 SEC Approves Amendment To The Primary Market-Maker Standards

96-35 Mail Vote — NASD Solicits Member Vote On Amendments To The NASD By-Laws To Make By-Laws Consistent With The "Plan Of Allocation And Delegation Of Functions By NASD To Subsidiaries"

96-34 Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996

NASD Rule Filing Status (As of April 29, 1996)

96-33 NASD Clarifies Rules Governing RR/IAs

Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996

96-32 Members Reminded To Use Best Practices When Dealing In Speculative Securities

96-31 Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996

96-30 Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996

96-29 Memorial Day: Trade Date — Settlement Date Schedule

96-28 NASD Revises Sanction Guidelines

96-27 Significant Disciplinary Actions Prompt Reentry Into The Regulatory Element Of The Continuing Education Program

96-26 SEC Approves Schedule C Changes Regarding Use Of The Modified Series 7 To Qualify Canadian Registrants

96-25 SEC Approves NASD Manual Revisions; Publication Scheduled For May

96-24 SEC Approves Rule Mandating TIF Immobilization

96-23 Treasury Issues Updated List Of Specially Designated Nationals And Blocked Persons

96-22 Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996

96-21 Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996

96-20 Good Friday: Trade Date — Settlement Date Schedule

96-19 Annual Check List of NASD Notices to Members

96-18 Compliance Desk Will Help Members Report Free-Riding And Withholding Information To NASD; Workshops Scheduled For Late April, Early May

96-17 SOES Tier Levels Set To Change April 1, 1996

96-16 NASD Adds Remote Sites to Deliver Training and Exams

96-15 SEC Approves NASD Proposals to Add Two New Options Position-Limit Tiers and Extend and Expand the NASD's Equity Option Position-Limit Hedge Exemption Pilot Program

96-14 SEC Approves Amendments To Sections 1(a)(v) And 73 Of NASD Uniform Practice Code Relating To The Use Of Standardized Limited Partnership Transfer Forms

96-13 Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996

96-12 Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996

96-11 Presidents' Day: Trade Date — Settlement Date Schedule

96-10 Expanded Limit-Order Protection Rule Gets Further Clarification By NASD

96-9 SEC Approves NASD Proposal Relating To Third-Market Trading In IPOs Of Exchange-Listed Securities

96-8 SEC Approves Amendments To Section 59 Of The Uniform Practice Code Clarifying Delivery Deadlines That May Be Specified In Buy-In Notices

96-7 Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996

96-6 Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995

96-5 CRD Redesign Requires Actions By Members

96-4 1995-96 Renewal Rosters And Final Adjusted Invoices

96-3 NASD Files With The SEC Proposed Rule Governing Members Operating On Bank Premises

96-2 SEC Approves Amendments To Article II, Section 4 Of The NASD By-Laws To Include Statutory Disqualification Provisions Adopted By Congress

96-1 Mail Vote - NASD Solicits Member Vote On Amendments To The NASD By-Laws To Require Members To File Required Documents Electronically