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89-38 Quarterly Check List of NASD Notices to Members

SUGGESTED ROUTING*

Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Registration
Research
Syndicate
Systems
Trading
Training

*These are suggested departments only. Others may be appropriate for your firm.

The following NASD Notices to Members were issued during the first quarter of 1989. Each monthly issue costs $15 and can be obtained by sending the payment and a self-addressed mailing label to: NASD Administrative Services, 1735 K Street, NW, Washington, DC 20006-1506.

Notice

Date

Topic

89-1

1/89

Proposed By-Laws Amendment on Filling Vacancies on District Committees

89-2

1/89

Proposed New Rule Re: Business Conduct Of Members

89-3

1/89

Proposed Rule to Restrict Payment of Referral Fees by NASD Members

89-4

1/89

Proposed Mandatory Participation By Clearing Members in Reconfirmation and Pricing Services

89-5

1/89

Insider Trading and Securities Fraud Enforcement Act

89-6

1/89

State Participation in CRD Form BD and BDW Processing

89-7

1/89

Renewal Rosters and Final Adjusted Invoices

89-8

1/89

NASD 1989 Holiday Schedule

89-9

1/89

Trade Date-Settlement Date (for all of 1989)

89-10

1/89

NASDAQ/NMS Additions, Deletions, and Changes as of 12/13/88

89-11

2/89

Approval of Amendment Re: Advertising and Sales Literature for Investment Company Securities

89-12

2/89

Reporting Suspicious Currency and Other Questionable Transactions to the IRS/Customs Hotline

89-13

2/89

Access to Disciplinary Information on Prospective Employees

89-14

2/89

Approval of Amendments Re: Lost and Stolen Securities Program

89-15

2/89

Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations

89-16

2/89

Amendment Permitting Indeterminate Compensation in Public Direct Participation Programs

89-17

2/89

Adoption of Rule Amendments Mandating the Automated Submission of Trading Data —Technical Specifications

89-18

2/89

Presidents' Day Trade Date-Settlement Date Schedule

89-19

2/89

NASDQA/NMS Additions, Deletions and Changes of 1/12/89

89-20

2/17/89

Proposed Amendments to Article III, Sections 1 - 28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989

89-21

3/89

Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements

89-22

3/89

Proposed Amendment Re: Use and Disclosure of Member Names

89-23

3/89

Proposed Amendment Re: Providing Terminated Employees with Form U-5 and Obtaining Prior Form U-5 for Potential Employees

89-24

3/89

Proposed Amendment Re: Definition of a Direct Participation Program

89-25

3/89

SIPC Reimposes Assessments Based on Percentage of Gross
Revenue

89-26

3/89

SEC Request for Comments — Re: Sales Practices in Pink Sheet Stocks

89-27

3/89

Treasury Finalizes Two Amendments Re: Currency Transactions

89-28

3/89

Approval and Immediate Effectiveness of Definition of "Bona Fide Research"

89-29

3/89

SOES Tier Levels to Change on March 17, 1989, for All NASDAQ/NMS Securities

89-30

3/89

Good Friday Trade Date-Settlement Date Schedule

89-31

3/89

NASDAQ/NMS Additions, Deletions, and Changes as of February 10, 1989

89-32

3/89

Temporary Receiver Appointed for Investors Center, Inc


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