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86-79 Quarterly Checklist of Notices to Members

TO: All NASD Members and Other Interested Persons

The following is a list of NASD Notices to Members issued during the third quarter of 1986. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.

Notice Number

Date

Topic

86-48

July 8, 1986

NASDAQ National Market System Grows to 2,457 Securities With 33 Voluntary Additions on July 15, 1986

86-49

July 9, 1986

Request for Comments on Proposed Amendment to Schedule G of the NASD By-Laws

86-50

July 11, 1986

Accurate Completion of Form U-4 (Uniform Application for Securities Industry Registration)

86-51

July 14, 1986

Automation of Test Administration for the Financial and Operations Principal Examination

86-52

July 29, 1986

NASDAQ National Market System Grows to 2,507 Securities With 52 Voluntary Additions on August 5, 1986, and 2 Mandatory Inclusions on August 12, 1986

86-53

July 30, 1986

Quarterly Checklist of Notices to Members

86-54

July 30, 1986

Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members

86-55

July 30, 1986

Request for Comments on Proposed Revisions to Schedule D of the NASD By-Laws

86-56

August 12, 1986

NASDAQ National Market System Grows to 2,517 Securities With 17 Voluntary Additions on August 19, 1986

86-57

August 12, 1986

Labor Day: Trade Date-Settlement Date Schedule

86-58

August 26, 1986

NASDAQ National Market System Grows to 2,550 Securities with 27 Voluntary Additions on September 2, 1986

86-59

August 27, 1986

Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-In

86-60

August 27, 1986

Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 64, Acceptance and Settlement of COD Orders

86-61

September 3, 1986

Proposed New Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions

86-62

September 10, 1986

NASDAQ National Market System Grows to 2,569 Securities With 27 Voluntary Additions on September 16, 1986

86-63

September 10, 1986

NASD Operations Center Opens in Rock-ville, Maryland; New Addresses and Telephone Numbers

86-64

September 12, 1986

Columbus Day: Date Schedule Trade Date-Settlement

86-65

September 12, 1986

Compliance with the NASD Rules of Fair Practice in the Employment and Supervision of Off-Site Personnel

86-66

September 19, 1986

Due Diligence Expense Reimbursements in Connection with Direct Participation Programs


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