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1991


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91-85 Nasdaq National Market Additions, Changes, and Deletions as of November 25, 1991
91-84 Trade Date-Settlement Date Schedule for 1992
91-83 NASD 1992 Holiday Schedule
91-82 Proposed Revision of NASD Manual
91-81 Reporting Information on Form BD
91-80 Request for Comments on Proposed Amendments to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption from the Rule for Negative Comment Letters Used in Certain Bulk Exchanges of Money Market Mutual Funds; Last Date For Comments
91-79 Request for Comments on Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) And Proposed Amendments to the NASD Rules of Fair Practice to Incorporate Items From the Gu
91-78 Request for Comments on Member Participation in Partnership Rollups and Listing of Securities Resulting from Rollups on Nasdaq/NMS; Last Date for Comments: February 1, 1992
91-77 Nasdaq National Market Additions, Changes, and Deletions as of October 23, 1991
91-76 Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
91-75 Appointment of SIPC Trustee for Three Firms
91-74 Replacement of Certificates of Deposit by Bond Mutual Funds
91-73 Revised Forms U-4 and U-5 Go into Effect
91-72 Enhancements to the Firm Access Query System (FAQS)
91-71 Subject: Broker/Dealer and Agent Renewals for 1991-92
91-70 SEC Approval and Startup of Nasdaq InternationalSM Service
91-69 Application of NASD Rules, Interpretations, By-Laws, and Federal Securities Laws to the Secondary Market in Direct Participation Program Interests
91-68 Proposed Amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts; Last Voting Date:
91-67 SEC Approves Rules to Curb SOES Abuse
91-66 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of September 25, 1991
91-65 Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
91-64 SOES Tier Levels to Change for 487 Issues on October 31, 1991
91-63 SEC Approval of Amendments to the NASD Uniform Practice Code
91-62 SEC Approval of Amendments to the NASD Rules of Fair Practice Relating to Options Communications
91-61 SEC Approval of Amendment to Article VI, Sections 3 and 4 of NASD By-Laws Re: Suspension or Cancellation of Registration for Failure to Pay Fees, Dues, or Other Assessments
91-60 Proposed Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of The NASD By-Laws Regarding Retention of Jurisdiction; Last Voting Date: November 19, 1991
91-59 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of August 23, 1991
91-58 Columbus Day — Trade Date-Settlement Date Schedule
91-57 Adoption of Amendments to Interpretation of the Board of Governors — Forwarding Of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice Re: Forwarding of Material on the Issuer's Behalf to Beneficial Owners
91-56 SEC Approval of Amendments to Appendix F Concerning Member Participation in Partnership RoIIups
91-55 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of July 24, 1991
91-54 Labor Day — Trade Date-Settlement Date Schedule
91-53 Misuse of Treasury Form PD 1832, "Special Form of Detached Assignment for United States Registered Securities"
91-52 SEC Approval of Amendments to the Resolution of the Board of Governors — Notice to Membership and Press of Suspensions, Expulsions, Revocations, and Monetary Sanctions Under Article V, Section 1 of the Rules of Fair Practice Regarding the
91-51 Request for Comments on Proposed Changes to Schedule C to the NASD By-Laws Regarding the Sale of Partnership Debt by Direct Participation Programs Representatives and Principals; Last Date for Comments: September 25, 1991
91-50 NASD Board Authorizes Industry Committee to Design Program to Assure Continuing Qualifications of Securities Industry Professionals
91-49 Proposed New Rule Re: Definition of "Executive Representative" in Article Section 3 of the NASD By-Laws; Last Voting Date: September 25, 1991
91-48 Proposed New Rule Re: Definition of Branch Office in Article III, Section 27(g)(2) and (g)(3) of the Rules of Fair Practice; Last Voting Date: September 25, 1991
91-47 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of June 12, 1991
91-46 Request for Comments on Exemption for Directly Marketed Mutual Funds From Article III, Section 21(c)(2)(ii) and (iii) of the Rules of Fair Practice Re: Customer Account Information Regarding Employment; Last Date for Comments: July 31, 1991
91-45 NASD/NYSE Joint Memo on Chinese Wall Policies and Procedures
91-44 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of May 13, 1991
91-43 Independence Day — Trade Date-Settlement Date Schedule
91-42 Appointment of SIPC Trustees for Two Firms
91-41 Department of Treasury Proposes Significant Amendments to the Regulations Issued on July 24, 1987 Under the Government Securities Act of 1986; Last Date for Comments: June 17, 1991
91-40 SEC Approval of Amendment Regarding Disclosure of Contingent Deferred Sales Charges on Confirmations
91-39 Limitations on Use of "Negative Response" Letters in Switching Customers From One Mutual Fund to Another
91-38 Market-Maker Obligations in SelectNetSM
91-37 Market-Maker Obligations With Regard to Display of Size in Quotations
91-36 Adoption of Amendments to SEC Rule 15c2-11 Regarding Initiation or Resumption of Quotations Without Specified Information
91-35 Proposed SEC "Penny Stock" Disclosure Rules
91-34 Request for Comments on Amendments to the Filing Requirements of the Interpretation of the Board of Governors — Review of Corporate Financing; Last Date for Comments: July 1, 1991
91-33 Request for Comments on Proposed Nonquantitative Designation Criteria for Partnerships Listed on the Nasdaq National Market System; Last Date for Comments: July 1, 1991
91-32 Request for Comments on Compensation Arrangements for Activities of Registered Representatives Who Are Also Registered With the Securities and Exchange Commission as Investment Advisers; Last Date for Comments: July 1, 1991
91-31 Solicitation of Members' Comments on Proposals to Curb SOES Abuse; Last Date for Comments: June 21, 1991
91-30 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of April 12, 1991
91-29 Memorial Day — Trade Date-Settlement Date Schedule
91-28 Availability of the Series 17 Limited Registered Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom As NASD General Securities Representatives
91-27 SEC Approval of Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member
91-26 SEC Approval of Amendment Re: Use and Disclosure of Member Names
91-25 Request for Comments on Proposed Amendments to Article III, Sections 26 and 29 of The NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Cont
91-24 Proposed New Rule Re: Suspension or Cancelation of Registration for Failure to Pay Fees, Dues, or Other Assessments; Last Voting Date: June 4, 1991
91-23 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of March 13, 1991
91-22 SOES Tier Levels to Change for 417 Issues on April 15, 1991
91-21 Amendments to Schedule H Eliminating the Price and Volume Reporting Thresholds, And Expanding the Definition of Non-Nasdaq Security
91-20 Adoption of Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
91-19 Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice Regarding the Suspension of the Membership of Any Member or of the Registration Of a Person Associated With a Member for a Definite Period Assessed as a Sanction For a
91-18 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of February 8, 1991
91-17 Good Friday — Trade Date-Settlement Date Schedule
91-16 New Statutory Disqualification Categories; Notice to NASD Required No Later Than April 30, 1991
91-15 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of January 11, 1991
91-14 Presidents' Day — Trade Date-Settlement Date Schedule
91-13 NASD Charges for Reviewing Advertisements and Sales Literature
91-12 Board of Governors' Approval of Service Charges for SelectNet and SOES
91-11 SEC Approval of Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events
91-10 Revised Entry and Annual Fees for Nasdaq Issuers — Approval of Amendments to Schedule D
91-9 Request for Comments From Members on Proposed Changes to the Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws; Last Date for Comments: April 1, 1991
91-8 Annual Check List of NASD Notices to Members
91-7 Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of December 12, 1990
91-6 Trade Date-Settlement Date Schedule for 1991
91-5 NASD 1991 Holiday Schedule
91-4 1991 Renewal Rosters and Final Adjusted Invoices
91-3 Implementation of Matching Service in SOES Limit-Order File
91-2 Request for Comments From Members, Issuers, and Investors on Nasdaq Short-Sale Rule; Last Date for Comments: March 1, 1991
91-1 Proposed Amendments to the NASD Rules of Fair Practice Relating to Options Communications; Last Voting Date: February 4, 1991