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2000


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Contents:
00-90 Mail Vote — NASD Solicits Vote On Amendments To The NASD By-Laws On Selected Corporate Governance Issues (Note: Only NASD member Executive Representatives are allowed to vote)
00-89 NASD 2001 Holiday Schedule
00-88 Trade Date — Settlement Date Schedule For 2001
00-87 Fixed Income Pricing SystemSM Additions, Changes, And Deletions As Of November 22, 2000
00-86 Review Of Decimalization Testing
00-85 NASD To Deduct Delinquent Corporate Financing Filing Fees From CRD Account
00-84 NASD Regulation Requests Comment On A Proposed Amendment To NASD Rule 2320(g) To Exclude Certain Transactions In Foreign Securities
00-83 NASD Regulation To Make Statutory Disqualification Decisions Publicly Available In Redacted Format
For Your Information (December)
00-82 Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
00-81 Fixed Income Pricing System Additions, Deletions, And Changes As Of October 23, 2000
00-80 Nasdaq Decimalization Testing & Decimalization Implementation Phase-In Plan
00-79 Nasdaq Adopts Alternative Approach For Complying With Riskless Principal Trade-Reporting Rules And Issues Net Trading Interpretation
00-78 SEC Approves Proposed Changes To The NASD Three Quote Rule And Related Recordkeeping Requirements
00-77 Thanksgiving Day: Trade Date — Settlement Date Schedule
00-76 Fixed Income Pricing System Additions, Deletions, And Changes As Of September 22, 2000
00-75 Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
00-74 NASD Announces Election Results For District Committees And District Nominating Committees
00-73 SEC Approves Amendments To NASD Membership Rules (Correction: On page 571, the 2nd sentence should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." Online version amended)
00-72 Broker/Dealer And Agent Renewals For 2001
00-71 NASD Announces Nominees For Regional Industry Member Vacancies On The National Adjudicatory Council
00-70 Nasdaq Requests Comment On Extending Manning Limit Order Protection Interpretation To Premarket Hours (Correction: On p. 556, it was originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET.)
00-69 Columbus Day: Trade Date — Settlement Date Schedule
00-68 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 21, 2000
00-67 Decimalization Implementation Plan
00-66 NASD Regulation Withdraws Proposed Rule Regarding Confidential Customer Financial Information; SEC Issues Regulation S-P, "Privacy of Consumer Financial Information"
00-65 Nasdaq Is Establishing The Primex Auction System As A New Facility
00-64 SEC Approves Rule Changes To Amend Mediation Fee Structure
00-63 NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
00-62 SEC Approves Day-Trading Rules
00-61 NASD Regulation Files Rule Proposal With SEC Requiring Delivery Of Margin Disclosure Statement To Customers
00-60 Nominees For District Committees And District Nominating Committees
For Your Information (September)
00-59 NASD Announces Nomination Procedures For Regional Industry Member Vacancies On The National Adjudicatory Council
00-58 Labor Day: Trade Date — Settlement Date Schedule
00-57 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 20, 2000
00-56 SEC Approves Changes To Rule Regarding The Code Of Procedure
00-55 NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
00-54 NASD Reminds Members Of Methods For Determining Ex-Dividend Dates
00-53 NASD Adopts Exemption From The Corporate Financing Rule For Interval Funds
00-52 NASD And Exchanges Submit Decimalization Plan To The SEC
00-51 SEC Approves Proposed Rule Change Relating To Margin For Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements, Control And Restricted Securities, And Options Transactions
00-50 Withdrawal Of Proposed Rule And Reminder Of Restrictions On Use Of Unregistered Persons
For Your Information (August)
00-49 SEC Issues Staff Interpretation On The "Free Trading" Status Of Blank Check Company Securities Under Certain Scenarios
00-48 NASD Adopts Rule Requiring Member Participation In Decimalization Testing; NASD Reminds Selected Members Of Survey Deadline: July 28, 2000
00-47 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 23, 2000
00-46 NASD Announces Interpretation Of NASD Rule 1032(f) Regarding Series 55/Equity Trader Registration Requirement
00-45 NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)
00-44 The NASD Reminds Members Of Their Responsibilities Regarding The Sale Of Variable Life Insurance
00-43 SEC Approves Changes To Transaction Reporting Procedures For Weighted Average And Special Pricing Formula Trades
For Your Information (July)
00-42 NASD Regulation, Inc. Reiterates The Obligation Of Member Firms To Comply With Trading Rules, Particularly Immediately Prior To The Close On Expiration Fridays And Index Rebalancing Days
00-41 SEC Approves Trade Halt Rule For OTCBB
00-40 Independence Day: Trade Date — Settlement Date Schedule
00-39 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 2000
00-38 Nasdaq Releases Its Latest Decimalization Testing Schedule
00-37 NAC Issues Decision On MSRB Rule G-37 Exemptive Relief
00-36 SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board
00-35 NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures
00-34 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
00-33 NASD Regulation Adopts New Rule Interpretation To Require Confirmation Disclosure Of Callable Common Stock
00-32 SEC Suspends Decimalization Deadline And Requests Comment On Extended Deadline
00-31 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 2000
00-30 SEC Approves New Systems And Rules Governing Delivery, Negotiation, And Execution Of Orders For Nasdaq National Market Securities
00-29 SEC Approves Changes To Nasdaq Locked/Crossed Markets Rule
00-28 SEC Approves Use Of Hard To Borrow List To Comply With The Affirmative Determination Requirement For Short Sales (Rule 3370)
00-27 Deadline Extended For Series 55 Equity Trader Examination To October 1, 2000
00-26 NASD Regulation Reiterates Requirement That Members Correctly Report Order Audit Trail Information
00-25 Memorial Day: Trade Date — Settlement Date Schedule
00-24 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 2000
00-23 SEC Approves New Rules Relating To Bond Mutual Fund Volatility Ratings
00-22 SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period
00-21 NASD Regulation Reminds Members Of Their Responsibilities When Advertising Recent Mutual Fund Performance
00-20 Good Friday: Trade Date — Settlement Date Schedule
00-19 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 2000
00-18 NASD Regulation Issues Statement Of Policy Regarding Recordation By Members Of NASD Examinations
00-17 NASD Regulation Requests Comment On Proposed Recordkeeping And Reporting Requirements For Quotations On Certain Automated, Inter-Dealer Quotation Systems
00-16 SEC Approves Changes To NASD Public Disclosure Program (Interpretive Material 8310-2)
00-15 SEC Approves Rule Change Relating To Filing Requirements For Independently Prepared Research Reports
00-14 NASD Members Must Update Firm Contact Information Via The NASD Regulation Web Site By April 30, 2000
For Your Information (March)
00-13 Nominees For NASD Board Of Governors
00-12 Amendments Adopted To Clarify The Application Of NASD Rules To Offerings Under SEC Rule 504 And Intra-State-Only Offerings
00-11 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1999
00-10 Nasdaq Reiterates Clearly Erroneous Complaint Procedures
00-09 NASD Issues Various MSRB Rule G-37 Decisions On Exemptive Relief
For Your Information (February)
00-08 NASD Reminds Members Of Their Obligations Regarding Municipal Securities Transaction Reporting
00-07 Disclosure To Customers Engaging In Extended Hours Trading
00-06 The Countdown To Decimals
00-05 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1999
00-04 Martin Luther King, Jr. Day And Presidents Day: Trade Date — Settlement Date Schedule
00-03 Annual Checklist Of NASD Notices to Members
00-02 NASD Alerts Members To Their Obligations Concerning Soliciting Business In Foreign Jurisdictions
00-01 1999-2000 Renewal Rosters And Final Adjusted Statements
For Your Information (January)