View Whole Section Print Print Manager Link
Previous Next

1990


View whole section

Contents:
90-85 SIPC Trustee Appointed for Carolina First Securities Group
90-84 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of November 13, 1990
90-83 Christmas Day and New Year's Day - Trade Date-Settlement Date Schedule
90-82 Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements.
90-81 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
90-80 SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service
90-79 Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups; Last Date for Comments: January 15, 1991
90-78 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of October 11, 1990
90-77 Thanksgiving Day -Trade Date-Settlement Date Schedule
90-76 Broker-Dealer and Agent Renewals for 1991
90-75 New Requirement for Market Makers to Display Size in Quotations
90-74 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;
90-73 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; Last Voting Date: December 5, 1990
90-72 SIPC Trustee Appointed for DFW Clearing, Inc.
90-71 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of September 13, 1990
90-70 Veteran's Day - Trade Date-Settlement Date Schedule
90-69 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
90-68 Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination For Persons Whose Registration Has Been Revoked, Effective October 1, 1990
90-67 SOES Tier Levels to Change for 450 Issues on October 15, 1990
90-66 Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital
90-65 Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6
90-64 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
90-63 Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices On Customer Confirmations; Last Voting Date: November 5, 1990
90-62 Proposed Amendment Re: Use and Disclosure of Member Names; Last Voting Date: November 5, 1990
90-61 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 Associa
90-60 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of August 13, 1990
90-59 Columbus Day: Trade Date-Settlement Date Schedule
90-58 Clarification of Schedule H Reporting Requirements
90-57 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
90-56 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; Last Voting
90-55 SIPC Trustee Appointed for Blinder, Robinson & Company, Inc.
90-54 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of July 13, 1990
90-53 Labor Day: Trade Date-Settlement Date Schedule
90-52 SEC Approval of Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information
90-51 SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities
90-50 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; Last Date for Comment: September 4, 1990
90-49 SIPC Trustee Appointed for First Ohio Securities Company
90-48 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of June 14, 1990
90-47 Amendments to Code of Arbitration Procedure
90-46 Reporting Disciplinary Information on Form BD
90-45 SEC Approval 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
90-44 SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990
90-43 Proposed Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events; Last Date for Comment: August 3, 1990
90-42 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of May 14, 1990
90-41 Independence Day: Trade Date-Settlement Date Schedule
90-40 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
90-39 Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Date for Comment: July 5, 1990
90-38 Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part HI, Section (1)(d) of Schedule C to the NASD By-Laws; Last Date for Comment: July 31, 1990
90-37 Proposed New Rule Re: Handling Customer Limit Orders; Last Voting Date: July 5, 1990
90-36 Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance; Last Voting Date: July 5, 1990
90-35 SEC Approval for and Startup of the OTC Bulletin Board
90-34 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of April 12, 1990
90-33 Memorial Day: Trade Date-Settlement Date Schedule
90-32 Revised Forms U-4 and U-5 Go Into Effect
90-31 Electronic Filing of Forms LJ-5 and Amendments to Form U-4
90-30 New NASDAQ Listing and Maintenance Standards
90-29 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
90-28 Automated Confirmation Transaction (ACT) Service Fees
90-27 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; Last Voting Date: June 5, 1990
90-26 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; Last Date for Comment: May 31, 1990
90-25 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of March 15, 1990
90-24 Good Friday: Trade Date-Settlement Date Schedule
90-23 Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO* Computer-Based Delivery
90-22 SOES Tier Levels to Change for 416 Issues on April 16, 1990
90-21 Collection of Fines and Costs in Disciplinary Proceedings
90-20 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; Last Date for Comment: May 5, 1990
90-19 Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement The Recommendations of the Special Committee on NASD Structure and Governance; Last Date for Comment: April 30, 1990
90-18 SEC Staff Interpretations of Rule 15c2-6
90-17 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of February 9, 1990
90-16 New Interim Criteria for Initial Inclusion in the NASDAQ System
90-15 Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990
90-14 Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Parctice Re: Communications With the Public; Last Voting Date: April 5, 1990
90-13 Proposed Technical Amendment to Pending Prompt Receipt Rule; Last Voting Date: April 5, 1990
90-12 Proposed Amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Voting Date: April 5, 1990
90-11 Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations; Last Voting Date: April 5, 1990
90-10 Proposed Corporate Financing Rule; Last Voting Date: April 5, 1990
90-9 Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990
90-8 NASDAQ National Market System (NASDAQ/NMS) Additions, Changes, and Deletions As of January 11, 1990
90-7 Presidents' Day: Trade Date-Settlement Date Schedule
90-6 Annual Check List of NASD Notices to Members
90-5 NASDAQ National Market Additions, Changes, and Deletions As of December 12, 1989
90-4 Trade Date-Settlement Date Schedule for 1990
90-3 Registration Renewal Rosters and Final Adjusted Invoices
90-2 Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons
90-1 Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration