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1999


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Contents:
99-106 NASD 2000 Holiday Schedule
99-107 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 22, 1999
99-105 Trade Date—Settlement Date Schedule For 2000
99-104 Maximum SOES Order Sizes Set To Change January 10, 2000
99-103 SEC Approves Rule Change Relating To Sales Charges For Investment Companies And Variable Contracts
99-102 NASD Announces Changes To Regulation T And SEC Rule 15c3-3 Extension Request Reason Codes
99-101 NASD Regulation To Launch Additional Form Filing Regulatory Applications
99-100 SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
99-99 NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4
99-98 NASD Regulation Reiterates That Members Must Comply With All Short Sale Rules When Receiving Orders Through Electronic Order Systems Or The Internet And Reiterates The Operation Of The Affirmative Determination Rule
99-97 NASD Office Of The Ombudsman Clarifies Its Role
99-96 SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
For Your Information (December)
Year 2000 Update (December)
99-95 NASD Announces Changes To The By-Laws Associated Person Definition
99-94 Christmas Day: Trade Date—Settlement Date Schedule
99-93 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 22, 1999
99-92 SEC, NASD Regulation, And NYSE Issue Joint Statement On Broker/Dealer Risk Management Practices
99-91 NASD Revises And Replaces Notice to Members 99-59 And Issues New Censure Policy
99-90 NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
Year 2000 Update (November)
99-89 NASD Informs Members Of Election Results For District Committees And District Nominating Committees
99-88 Veterans Day And Thanksgiving Day: Trade Dates—Settlement Dates Schedule
99-87 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 23, 1999
99-86 NASD Regulation Adopts Policy Regarding Imposition And Collection Of Monetary Sanctions
99-85 Broker/Dealer And Agent Renewals For 2000; CRD Fee Changes
99-84 NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Year 2000 Update (October)
99-83 Columbus Day: Trade Date—Settlement Date Schedule
99-81 NASD Regulation Requests Comment on Proposed Salesperson Compensation Rules
99-82 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 22, 1999
99-80 Maximum SOES Order Sizes Set To Change October 1, 1999
99-79 NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications with the Public
99-78 Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
99-77 NASD Regulation Modifies Default Decision Procedures
99-76 Update On OTC Bulletin Board Eligibility Rule
99-75 Series 7 Examination Fee Increase Effective September 15, 1999
99-74 Nominees for District 10 District Committee and District Nominating Committee
For Your Information (September)
Year 2000 Update (September)
99-73 NASD Requests Comment On Proposed Amendments To The Code Of Procedure And Other Provisions
99-72 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 22, 1999
99-71 Labor Day: Trade Date-Settlement Date Schedule
99-70 NASD Regulation Announces New Web-Based FOCUS Filing System — To Be Available For September 1999 Filings
99-69 NASD Regulation Requests Comment On Proposed Trading Halt Rules
99-68 NASD Regulation Announces Its Policy On Enforcement Of Disciplinary Sanctions During The Pendency Of Circuit Court Appeals
99-67 NASD Requests Comment On Proposed Amendments To Membership Rules
99-66 SEC Approves Prior Reference Price Trade Modifier, Changes To Bunching Rules, And Riskless Principal Trade-Reporting Rules For The Third Market
99-65 SEC Approves Rule Changes To NASD Trade-Reporting Rules For Riskless Principal Transaction In Nasdaq And OTC Securities
99-64 NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
99-63 SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
For Your Information (August)
Year 2000 Update (August)
99-62 Nominees For District Committees And District Nominating Committees
99-61 SEC Approves Changes To Rule 4613—Firm Quotation Requirements; Effective Date: August 2, 1999
99-60 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 24, 1999
99-59 NASD Will No Longer Impose Censures For Some Violations
99-58 SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule
99-57 SEC Approves Rule Amendments Governing Clearing Firms And Their Introducing Firm Clients' Relationship
99-56 NASD Regulation Announces CRD "System Transition Period" Immediately Preceding The Deployment Of Web CRD
99-55 Questions And Answers Relating To Non-Cash Compensation Rules
99-54 NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
99-53 NASD Regulation Offers Guidance To Members Forwarding Mini Tender Offers To Their Customers
For Your Information (July)
Year 2000 Update (July)
NASD Rule Filing Status (July)
99-52 Mail Vote—NASD Solicits Vote On Amendments To NASD By-Laws To The Associated Person Definition
99-51 NASD Regulation Requests Comment On Requiring Chief Compliance Officers To Be Registered
99-50 SEC Approves Amendments To Corporate Financing Rule Filing Fees
99-49 NASD Regulation Provides Interpretive Guidance On Registration Requirements
99-48 Independence Day: Trade Date—Settlement Date Schedule
99-47 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 22, 1999
99-46 Maximum SOES Order Sizes Set To Change July 1, 1999
99-45 NASD Provides Guidance On Supervisory Responsibilities
99-44 SEC Approves Interpretations And Allocation Chart For Proprietary Accounts Of Introducing Broker/Dealers
99-43 Update On OTC Bulletin Board Eligibility Rule
99-42 NASD Offers Guidance On Complying With Notice Requirements Of New SEC Rule Regarding Alternative Trading Systems
99-41 NASD Announces New Electronic Filing System For Corporate Financing Filings
99-40 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections
For Your Information (June)
Year 2000 Update (June)
99-39 The NASD Prepares For Move To Decimals
99-38 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 23, 1999
99-37 NASD Reminds Members Of Their Obligations Regarding Electronic Distribution Of Nasdaq And OTC Market Data
99-36 Members Reminded To Report Executive Representative And Address Changes
99-35 The NASD Reminds Members Of Their Responsibilities Regarding The Sales Of Variable Annuities
99-34 NASD Offers Guidance On Complying With New SEC Rule Regarding Alternative Trading Systems
Year 2000 Update (May)
99-33 NASD Regulation Advises Members About Maintenance Margin Requirements For Certain Volatile Stocks And Solicits Comment On Margin Practices
99-32 NASD Regulation Requests Comment On Proposed Rules Regarding Approval Procedures For Day - Trading Accounts, Including Appropriateness Determinations, And Disclosure Of Risks Of Day - Trading Activities
99-31 Memorial Day: Trade Date—Settlement Date Schedule
99-30 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 19, 1999
99-29 SEC Approves Changes To Clearly Erroneous Trade Adjudication Procedures; Changes Effective April 26, 1999
99-28 NASD Reminds Members Of Obligations Relating To The Short-Sale Rule
99-27 Order Audit Trail System Phase 2 Firms Required To Register; Firms Should Register By April 1, 1999
99-26 NASD Will Terminate Form 211 Applications If Applicants Do Not Respond To NASD Deficiency Letters Within 180 Calendar Days
For Your Information (April)
Year 2000 Update (April)
99-25 Good Friday: Trade Date—Settlement Date Schedule
99-24 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 21, 1999
99-23 SEC Approves New Arbitration Fees
99-22 Maximum SOES Order Sizes Set To Change April 1, 1999
99-21 The Nasdaq Stock Market Eliminates The SOES Five-Minute Presumption
99-20 SEC Approves Rule Change Increasing Position Limits On Standardized Equity Options; NASD Reminds Members Of Their Reporting Obligations When Trading Options
For Your Information (March)
Year 2000 Update (March)
NASD Rule Filing Status (March)
99-19 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 22, 1998
99-18 Annual Checklist Of NASD Notices to Members
99-17 SEC Approves Amendments Regarding Application Of The Corporate Financing Rule To Certain Offerings By Charitable Organizations
99-16 SEC Approves Changes To Rules Regarding Membership And Registration; Investigation And Sanctions; And Conduct And Code Of Procedure
99-15 SEC Approves Rule Amendments Limiting Quotations On OTC Bulletin Board To Reporting Securities
99-14 NASD Grants Exemptive Relief Under MSRB Rule G-37(i)
99-13 NASD Alerts MembersTo Year 2000 Mandatory Testing Activities
99-12 NASD Regulation Issues Guidance Concerning The Operation Of Automated Order Execution Systems During Turbulent Market Conditions
99-11 NASD Regulation Issues Guidance Regarding Stock Volatility
99-10 NASD Guidelines For Compliance With New Requirements For Non-California Attorneys Representing Parties In NASD Arbitrations In California
99-09 NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
Year 2000 Update (February)
99-08 Martin Luther King, Jr. Day and Presidents Day: Trade Date-Settlement Date Schedule
99-07 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1998
99-06 1998-1999 Renewal Rosters And Final Adjusted Invoices Market-Wide Trading Halts
99-05 SEC Issues Guidance On Handling Customer Orders During Market-Wide Trading Halts
99-04 Revised OATS Reporting Technical Specifications Released
99-03 SEC Approves Rule Amendments Requiring Review Of Incoming, Written Correspondence
99-02 NASD Regulation Withdraws Risk Disclosure Proposal
99-01 Office Of Disciplinary Affairs To Authorize All Enforcement Actions
For Your Information (January)
Year 2000 Update (January)