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FINRA Manual
Corporate Organization Notices
1994
94-93 NASD Requests Comment On Proposed Rule Governing Registered Persons Lending To Or Borrowing From Customers
94-82 NASD Solicits Comment On Proposed Amendment To The Corporate Financing Rule Relating To Rights Of First Refusal;
94-80 SEC Approves NASD Proposal Requiring Members To Annotate Their Affirmative Determinations As To Stock Availability Made In Connection With Short Sales
94-71 SEC Approves Amendments To Trade-Reporting Requirements For Trades Executed Outside Normal Market Hours
94-67 NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities;
94-63 New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994
94-62 NASD Solicits Member Comments On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions;
94-61 SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals
94-60 SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature
94-52 Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The NASD By-Laws To Facilitate The NASD Manual Revision;
94-44 Board Approves Clarification On Applicability Of Article III, Section 40 Of Rules Of Fair Practice To Investment Advisory Activities Of Registered Representatives
94-37 SEC Issues Interpretive Statement Regarding Municipal Securities Disclosures; Proposes Changes To Rule 15c2-12
94-29 SEC Approves Use Of Market-Maker Identifiers For OTCBB And Elimination Of Certain Schedule H Reporting Requirements
94-28 Effectiveness Of New Section 46 Of Article III Of The Rules Of Fair Practice Delayed Until September 15, 1994
94-25 SEC Approves Amendments To Filing Requirements For Communications Regarding Mutual Fund Rankings And CMOs Effective June 1, 1994
94-24 SEC Approves Amendments To Remove The Member Vote Requirement For Amendments To The Rules Of Fair Practice And Incorporate Appendices Into Rules Of Fair Practice
94-22 Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The Pre-Membership Interview Procedures;
94-18 Municipal Securities Rulemaking Board Preparing Way For T+3 Settlement Of Municipal Securities
94-14 NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice
94-7 SEC Approves New NASD Rule Relating To The Obligations And Responsibilities Of Introducing And Clearing Firms
