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86-2 Quarterly Checklist of Notices Interested Persons

TO: All NASD Members and Other Interested Persons

The following is a list of NASD Notices to Members issued during the fourth quarter of 1985. 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.

Notice Number

Date

Topic

85-65

October 1, 1985

SIPC Trustee Appointed
R. H. Stewart & Co., Inc.
1975 E. Sunrise Blvd., #817
Fort Lauderdale, Florida 33304

85-66

October 4, 1985

Quarterly Checklist of Notices to Members

85-67

October 7, 1985

SIPC Trustee Appointed
TK Securities, Inc.
1450 North Dixie Highway
Fort Lauderdale, Florida 33304

85-68

October 8, 1985

NASDAQ National Market System Grows to 2,149 Securities With 14 Voluntary Additions on October 15, 1985

85-69

October 21, 1985

Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice Concerning Advertising and Sales Literature for Direct Participation Programs

85-70

October 23, 1985

REVISED Trade Date-Settlement Date Schedule for Early November

85-71

October 28, 1985

NASDAQ National Market System Grows to 2,163 Securities With 19 Voluntary Additions on November 5, 1985, and 1 Mandatory Inclusion on November 12, 1985

85-72

October 30, 1985

Trade Reporting Rule Changes for NASDAQ Equity Audit Trail — Phase II

85-73

November 4, 1985

Temporary Receiver Appointed
Norman W. Stevenson, Esquire
Barnwell & Stevenson
P.O. Box 1429
Charleston, South Carolina 29402

85-74

November 5, 1985

Thanksgiving Day: Trade Date-Settlement Date Schedule

85-75

November 11, 1985

Amendments to SEC Rule 15c3-3, Customer Protection Rule

85-76

November 12, 1985

NASDAQ National Market System Grows to 2,172 Securities With 18 Voluntary Additions on November 19, 1985

85-77

November 22, 1985

NASD Actions in the Area of Short Sale Regulation

85-78

November 25, 1985

NASDAQ National Market System Grows to 2,183 Securities With 23 Voluntary Additions on December 3, 1985

85-79

November 26, 1985

1986 Schedule of Holidays

85-80

December 2, 1985

Final Rules Regarding the Securities and Exchange Commission's Direct Shareholder Communication Program

85-81

December 2, 1985

Request for Comments on Proposed Exemption from Free-Riding Interpretation for Conversions of Savings and Loan Associations

85-82

December 3, 1985

Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule

85-83

December 10, 1985

NASDAQ National Market System Grows to 2,194 Securities With 16 Voluntary Additions on December 17, 1985

85-84

December 18, 1985

New Rule of Fair Practice Relating to Private Securities Transactions

85-85

December 23, 1985

Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule

85-86

December 24, 1985

Request for Further Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members

85-87

December 24, 1985

Request for Comments on Amendments Concerning Short Sales

85-88

December 31, 1985

NASDAQ National Market System Grows to 2,214 Securities With 29 Voluntary Additions on January 7, 1986

85-89

December 31, 1985

Adoption of New Rule of Fair Practice Relating to Permission for Members to Alter Their Methods of Operation Under SEC Rule 15c3-3 (the "Customer Protection Rule")


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