View Whole SectionText only Print Print Manager Link
Previous Next

91-8 Annual Check List of NASD Notices to Members

SUGGESTED ROUTING:*

Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.

The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or special issue. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., should be sent to NASD Book Order Department, P.O. Box 9403, Gaithersburg, MD 20898-9403.

Notice

Date

Topic

90-1

1/90

Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration

90-2

1/90

Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons

90-3

1/90

1990 Registration Renewal Rosters and Final Adjusted Invoices

90-4

1/90

Trade Date-Settlement Date Schedule for 1990

90-5

1/90

Nasdaq National Market System Additions, Changes, and Deletions as of December 12, 1989

90-6

1/90

Annual Check List of NASD Notices to Members

90-7

2/90

Presidents' Day: Trade Date-Settlement Date Schedule

90-8

2/90

Nasdaq National Market System Additions, Changes, and Deletions as of January 11, 1990

90-9

2/21/90

Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990

90-10

3/90

Mail Vote: Proposed Corporate Financing Rule

90-11

3/90

Mail Vote: Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations

90-12

3/90

Mail Vote: Proposed Amendments to Article III, Sections 2 and 21(c) of the Rules of Fair Practice Re: Customer Account Information

90-13

3/90

Mail Vote: Proposed Technical Amendment to Pending Prompt Receipt Rule

90-14

3/90

Mail Vote: Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Practice Re: Communications With the Public

90-15

3/90

Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990

90-16

3/90

New Interim Criteria for Initial Inclusion in the Nasdaq System

90-17

3/90

Nasdaq National Market System Additions, Changes, and Deletions as of February 9, 1990

90-18

3/19/90

SEC Staff Interpretations of Rule 15c2-6

90-19

4/90

Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement the Recommendations of the Special Committee on NASD Structure and Governance

90-20

4/90

Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 of the NASD Rules of Fair Practice

90-21

4/90

Collection of Fines and Costs in Disciplinary Proceedings

90-22

4/90

SOES Tier Levels to Change for 416 Issues on April 16, 1990

90-23

4/90

Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO Computer-Based Delivery

90-24

4/90

Good Friday: Trade Date-Settlement Date Schedule

90-25

4/90

Nasdaq National Market System Additions, Changes, and Deletions as of March 15, 1990

90-26

4/16/90

Proposed Amendments to Subsections (b)(4) and (d) of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation of Asset-Based Sales Charges by the NASD

90-27

5/90

Mail Vote: Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Re: Disclosure of Deferred Sales Charges on Confirmations of the Sale of Investment Company Shares

90-28

5/90

Automated Confirmation Transaction (ACT) Service Fees

90-29

5/90

SEC Approval of New Schedule I to the NASD By-Laws Establishing and Setting Rules for The PORTALSM Market for Primary Distributions and Secondary Trading of Private Placements

90-30

5/90

New Nasdaq Listing and Maintenance Standards

90-31

5/90

Electronic Filing of Forms U-5 and Amendments to Form U-4

90-32

5/90

Revised Forms U-4 and U-5 Go Into Effect

90-33

5/90

Memorial Day: Trade Date-Settlement Date Schedule

90-34

5/90

Nasdaq National Market System Additions, Changes, and Deletions as of April 12, 1990

90-35

5/9/90

SEC Approval for and Startup of the OTC Bulletin Board

90-36

6/90

Mail Vote: Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance

90-37

6/90

Mail Vote: Proposed New Rule Re: Handling Customer Limit Orders

90-38

6/90

Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part III, Section (1)(d) of Schedule C to the NASD By-Laws

90-39

6/90

Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest

90-40

6/90

SEC Approval of an Amendment to Schedule H to the NASD By-Laws Requiring Members to Demonstrate Compliance With Rule 15c2-11 Before Initiating Quotations in a Quotation Medium

90-41

6/90

Independence Day: Trade Date-Settlement Date Schedule

90-42

6/90

Nasdaq National Market System Additions, Changes, and Deletions as of May 14, 1990

90-43

7/90

Proposed Amendment to Part I, Schedule C to the NASD By-Laws

90-44

7/90

SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990

90-45

7/90

SEC Approval of Amendments to Articles II and III of the NASD's Code of Procedure Regarding Board of Governors and Committee Proceedings in Disciplinary Actions, Effective August 1, 1990

90-46

7/90

Reporting Disciplinary Information on Form BD

90-47

7/90

Amendments to Code of Arbitration Procedure

90-48

7/90

Nasdaq National Market System Additions, Changes, and Deletions as of June 14, 1990

90-49

7/90

SIPC Trustee Appointed for First Ohio Securities Company

90-50

8/90

Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying and Obtaining Approval of Employer Prior to Opening Securities Account With Another Member

90-51

8/90

SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities

90-52

8/90

SEC Approval of Amendments to Article III, Sections 2 and 21(c) of the Rules of Fair Practice Re: Customer Account Information

90-53

8/90

Labor Day: Trade Date-Settlement Date Schedule

90-54

8/90

Nasdaq National Market System Additions, Changes, and Deletions as of July 13, 1990

90-55

8/3/90

SIPC Trustee Appointed for Blinder, Robinson & Company, Inc.

90-56

9/90

Mail Vote: Proposed Amendments to Subsections (b) ("Definitions") and (d) ("Sales Charge Rule") of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation by the NASD of Mutual Fund Asset-Based Sales Charges

90-57

9/90

Implementation of Amendment to Rules of Practice and Procedures for the Small Order Execution System Re: Market Makers' Entry of Agency Orders into SOES, Effective July 27, 1990

90-58

9/90

Clarification of Schedule H Reporting Requirements

90-59

9/90

Columbus Day: Trade Date-Settlement Date Schedule

90-60

9/90

Nasdaq National Market System Additions, Changes, and Deletions as of August 13, 1990

90-61

10/90

Mail Vote: Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 and Article V, Sections 1 and 3 of the NASD Rules of Fair Practice Re: Retention of Jurisdiction Over Member Firms and Associated Persons

90-62

10/90

Mail Vote: Proposed Amendment Re: Use and Disclosure of Member Names

90-63

10/90

Mail Vote: Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations

90-64

10/90

Amendments to the NASD By-Laws and to Schedule B Thereof to Modify the Size and Composition of the Board of Governors and the Number and Configuration of the Districts, Effective September 4, 1990

90-65

10/90

Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6

90-66

10/90

Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital

90-67

10/90

SOES Tier Levels to Change for 450 Issues on October 15, 1990

90-68

10/90

Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination for Persons Whose Registration Has Been Revoked, Effective October 1, 1990

90-69

10/90

Amendment to Schedule C of the NASD By-Laws Regarding Use of the Modified General Securities Representative Examination to Qualify Persons Registered With the Securities Association of the United Kingdom, Effective Immediately

90-70

10/90

Veteran's Day: Trade Date-Settlement Date Schedule

90-71

10/90

Nasdaq National Market System Additions, Changes, and Deletions as of September 13, 1990

90-72

10/90

SIPC Trustee Appointed for DFW Clearing, Inc.

90-73

11/90

Mail Vote: Proposed 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

90-74

11/90

Proposed Amendment to Article IV, Section 1 of the NASD Rules of Fair Practice Re: 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 Penalty for a Rule Violation

90-75

11/90

New Requirement for Market Makers to Display Size in Quotations

90-76

11/90

Broker-Dealer and Agent Renewals for 1990

90-77

11/90

Thanksgiving Day: Trade Date-Settlement Date Schedule

90-78

11/90

Nasdaq National Market System Additions, Changes, and Deletions as of October 11, 1990

90-79

12/90

Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups

90-80

12/90

SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service

90-81

12/90

Amendments to the Code of Procedure to Change the Disciplinary Process and Provide That Decisions of the National Business Conduct Committee Are Final Actions of the NASD

90-82

12/90

Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements

90-83

12/90

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

90-84

12/90

Nasdaq National Market System Additions, Changes, and Deletions as of November 13, 1990

90-85

12/90

SIPC Trustee Appointed for Carolina First Securities Group


Previous Next