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1989


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Contents:
89-81 NASDAQ National Market Additions, Changes, and Deletions As of November 13, 1989
89-80 Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule
89-79 NASD 1990 Holiday Schedule
89-78 Availability of Two New NASD Categories of Registration and Qualification Examinations
89-77 Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption; Last Date For Comment: January 2, 1990
89-76 Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990
For Your Information (November)
89-75 NASDAQ National Market Additions, Changes, and Deletions as of October 12, 1989
89-74 Thanksgiving Day: Trade Date-Settlement Date Schedule
89-73 Revisions to Certain NASD Qualification Examinations
89-72 Broker-Dealer and Agent Renewals for 1989-90
89-71 SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of Sanctions, and Availability of NASD Manual — Effective September 19, 1989
89-70 Automated Submission of Trading Data
89-69 SEC Proposes Significant Amendments to the Net Capital Rule; Last Date for Comments: December 18, 1989
For Your Information (October)
89-68 Nasdaq National Market Additions, Changes, and Deletions as of September 14, 1989
89-67 SOES Tier Levels to Change for 521 Issues on October 9, 1989
89-66 Size of "Normal" Unit of Trading For NASDAQ-Listed Debentures
89-65 SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities
89-64 SEC Approval of Rule of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions
For Your Information
89-63 NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989
89-62 Columbus Day Trade Date-Settlement Date Schedule
89-61 NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989
89-60 Labor Day Trade Date-Settlement Date Schedule
89-59 Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments
89-58 Amendment Re: Predispute Arbitration Clauses in Customer Agreements
89-57 SEC Approval of By-Law and Rule of Fair Practice Amendments on Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees — Effective September 1, 1989
89-56 Proposed Amendments To Nasd Uniform Practice Code Re: Mandatory Buy-In for Short Sales; Last Date for Comments: September 1, 1989
89-55 Proposed Amendments to the NASD Uniform Practice Code Re: Clearly Erroneous Trades; and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances; Last Date for Comments: September 1, 1989
89-54 Correction to Notice to Members 89-48 — All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective August 1, 1989
For Your Information (July)
89-53 NASDAQ National Market Additions, Changes, and Deletions as of June 14, 1989
89-52 SEC Approval of Amendment to Schedule C of By-Laws to Establish Waiting Periods Between Attempts to Pass Qualification Examinations — Effective July 17, 1989
89-51 Proposed Amendments to Article III, Section 26, of the NASD Rules of Fair Practice Re: Cash and Noncash Concessions in Connection with the Retail Sale of Investment-Company Securities — Last Date for Comments: August 4, 1989
89-50 NASD Initiates Computerized Extension Request Service for Regulation T And SEC Rule 15c3-3; New Form Required
89-49 SEC Approval of Amendment to Schedule C of NASD By-Laws to Require Members To Submit Applications for and Maintain the Registration of Only Such Persons Who Intend to Engage or Are Engaged in the Investment Banking or Securities Business For the Member
89-48 All Non-NASDAQ OTC Securities Are Subject To Price And Volume Reporting Effective September 1, 1989
89-47 Notice to Membership of Disciplinary Actions; Publication of Sanctions; Availability of NASD Manual; Last Voting Date: August 11, 1989
For Your Information (June)
89-46 NASDAQ National Market System Additions, Changes, and Deletions As of May 15, 1989
89-45 Independence Day Trade Date-Settlement Date Schedule
89-44 Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989
For Your Information (May)
89-43 NASDAQ National Market System Additions, Changes, and Deletions As of April 13, 1989
89-42 Memorial Day Trade Date-Settlement Date Schedule
89-41 SEC Approval of By-Laws Amendment on Filling Vacancies on District Committees — Effective March 8, 1989
89-40 Proposed Amendment to Code of Procedure Re: Summary Remedial Proceedings; Last Date for Comments: June 1, 1989
89-39 Proposed New Rule Re: Handling Customer Limit Orders Last Voting Date: June 1, 1989
89-38 Quarterly Check List of NASD Notices to Members
For Your Information (April)
89-37 NASDAQ National Market System Additions, Changes, and Deletions As Of March 13, 1989
89-36 SIPC Trustee Appointed for Investors Center, Inc.
89-35 Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads
89-34 Guidelines For Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures
89-33 Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions; Last Date for Comments: May 1, 1989
For Your Information (March)
89-32 Temporary Receiver Appointed for Investors Center, Inc.
89-31 NASDAQ National Market System Additions, Changes, and Deletions as of February 10, 1989
89-30 Good Friday Trade Date-Settlement Date Schedule
89-29 SOES Tier Levels to Change for 575 Issues on March 17, 1989
89-28 Approval and Immediate Effectiveness of Amendment to Definition of ";Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice
89-27 Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form
89-26 Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks
89-25 SIPC Reimposes Assessments Based on a Percentage of Gross Revenue
89-24 Proposed Amendment to Schedule C to the NASD By-Laws to Amend the Definition of a Direct Participation Program; Last Date for Comments: April 3, 1989
89-23 Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees Deadline for Voting: April 3, 1989
89-22 Proposed Amendment Re: Use and Disclosure of Member Names Last Voting Date: April 3, 1989
89-21 Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Voting Date: April 3, 1989
89-20 Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989
For Your Information (February)
89-19 NASDAQ National Market System Additions, Changes, and Deletions as of January 12, 1989
89-18 Presidents' Day: Trade Date-Settlement Date Schedule
89-17 Adoption of Rule Amendments Mandating the Automated Submission Of Trading Data Technical Specifications
89-16 Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs — Effective February 1, 1989
89-15 Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations — Effective December 20, 1988
89-14 SEC Approves Amendments to Rule 17f-1, Lost and Stolen Securities Program
89-13 Access to Disciplinary Information on Prospective Employees
89-12 Reporting Suspicious Currency and Other Questionable Transactions To the IRS/Customs Hotline
89-11 SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities — Effective March 1, 1989
For Your Information (January)
89-10 NASDAQ National Market System Additions, Changes, and Deletions As of December 13, 1988
89-9 Trade Date-Settlement Date Schedule for 1989
89-8 NASD 1989 Holiday Schedule
89-7 1989 Renewal Rosters and Final Adjusted Invoices
89-6 State Participation in CRD Form BD and BDW Processing
89-5 Insider Trading and Securities Fraud Enforcement Act of 1988
89-4 Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services (RECAPS); Last Date for Comment: February 3, 1989
89-3 Proposed Rule to Restrict Payment of Referral Fees by NASD Members; Last Date for Comments: February 3, 1989
89-2 Proposed New Rule Regarding Business Conduct of Members; Last Voting Date: February 3, 1989
89-1 Proposed By-Laws Amendment on Filling Vacancies on District Committees; Last Voting Date: February 3, 1989