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1994


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94-102 New Exercise Advice Procedures For Expiring Equity Options
94-101 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 28, 1994
94-100 Nasdaq National Market Additions, Changes, And Deletions As Of November 28, 1994
94-99 Trade Date-Settlement Date Schedule For 1995
94-98 SEC Approves NASD Listing Requirements Proposal To Prohibit Immediate Delistings Of Units
94-97 Treasury Proposes Risk Assessment Rules For Government Securities Broker/Dealers
94-96 NASD Requests Comment On Disclosure Of Partnership Valuations On Customer Account Statements
94-95 NASD Requests Comment On Proposed Customer Complaint Rules
94-94 NASD Requests Comment On Proposed Rule Governing Members Operating On Bank Premises;
94-93 NASD Requests Comment On Proposed Rule Governing Registered Persons Lending To Or Borrowing From Customers
94-92 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 31, 1994
94-91 Nasdaq National Market Additions, Changes, And Deletions As Of October 27, 1994
94-90 Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule
94-89 Fed Amends Regulation T
94-88 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 30, 1994
94-87 Nasdaq National Market Additions, Changes, And Deletions As Of September 29, 1994
94-86 NASD 1995 Holiday Schedule
94-85 Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule
94-84 Broker/Dealer And Agent Renewals For 1994-95
94-83 NASD Provides Additional Guidance Concerning The Operation Of The NASD Short-Sale Rule
94-82 NASD Solicits Comment On Proposed Amendment To The Corporate Financing Rule Relating To Rights Of First Refusal;
94-81 SEC Approves NASD Proposal To Require CQS Market-Maker Participation In ITS/CAES And CAES
94-80 SEC Approves NASD Proposal Requiring Members To Annotate Their Affirmative Determinations As To Stock Availability Made In Connection With Short Sales
94-79 NASD Solicits Member Comment On Board Proposals To Extend Customer Limit-Order Protection;
94-78 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 29, 1994
94-77 Nasdaq National Market Additions, Changes, And Deletions As Of August 29, 1994
94-76 Columbus Day: Trade Date-Settlement Date Schedule
94-75 NASD Requests Comment On Standardized Forms Proposed For DPP Securities;
94-74 NASAA Publishes Form Revisions For Public Comment:
94-73 SEC Approves Clearance And Settlement Proposal For Nasdaq And OTCBB Market Makers
94-72 SEC Approves Elimination Of Access Market-Maker Procedures
94-71 SEC Approves Amendments To Trade-Reporting Requirements For Trades Executed Outside Normal Market Hours
94-70 SEC Approves Adoption Of NASD Limited Partnership Rollup Transaction Rules;
94-69 Committee On Compensation Practices Requests Comment;
94-68 SEC Approves Short-Sale Rule For The Nasdaq Stock Market
94-67 NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities;
94-66 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 29, 1994
94-65 Nasdaq National Market Additions, Changes, And Deletions As Of July 28, 1994
94-64 Labor Day: Trade Date-Settlement Date Schedule
94-63 New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994
94-62 NASD Solicits Member Comments On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions;
94-61 SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals
94-60 SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature
94-59 Rule Proposals Of The Industry/Regulatory Council On Continuing Education
94-58 SEC Approves New NASD Limit Order Protection Rule
94-57 Nasdaq National Market Additions, Changes, And Deletions As Of June 28, 1994
94-56 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 28, 1994
94-55 Members Reminded To Report Address, Contact Changes To NASD
94-54 NASD Solicits Public Comment On Approaches Governing Award Of Punitive Damages In Arbitration
94-53 SEC Proposes Amendments To Regulation T
94-52 Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The NASD By-Laws To Facilitate The NASD Manual Revision;
94-51 Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1994
94-50 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 25, 1994
94-49 Independence Day: Trade Date-Settlement Date Schedule
94-48 SOES Tier Levels Set To Change July 11, 1994
94-47 SEC Issues Policy Governing Broker/ Dealer Activity On Bank Premises
94-46 NASD Reminds Members Of Their Obligations When Trading Options
94-45 SEC Approves Schedule E Conflict-Of-lnterest Provisions
94-44 Board Approves Clarification On Applicability Of Article III, Section 40 Of Rules Of Fair Practice To Investment Advisory Activities Of Registered Representatives
94-43 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 29, 1994
94-42 Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1994
94-41 NASD Clarifies Compensation Disclosure Requirements For Mutual Funds
94-40 NASD Solicits Member Comment On Trading Activity In Advance Of Research Reports;
94-39 Treasury Implements Buy-In Requirements For Government Securities
94-38 SEC Seeks Comment On Rule 10b-10 Changes And New Rule 15c2-13
94-37 SEC Issues Interpretive Statement Regarding Municipal Securities Disclosures; Proposes Changes To Rule 15c2-12
94-36 SEC Approves Communication Guidelines For Variable Products
94-35 SEC Approves NBCC-Review Subcommittee
Special Notice to Selected Members
94-34 SEC Approves MSRB Rule G-37
94-33 SEC Approves MSRB Rule G-19 Amendments
94-32 SEC Chairman Endorses Periodic Training Of All Registered Personnel
94-31 Nasdaq National Market Additions, Changes, And Deletions As Of March 28, 1994
94-30 Memorial Day: Trade Date-Settlement Date Schedule
94-29 SEC Approves Use Of Market-Maker Identifiers For OTCBB And Elimination Of Certain Schedule H Reporting Requirements
94-28 Effectiveness Of New Section 46 Of Article III Of The Rules Of Fair Practice Delayed Until September 15, 1994
94-27 Increased Advertising Regulation Department Filing Fees Take Effect May 1, 1994
94-26 SEC Approves Surcharge On Any NASD Member Named As A Party To An Arbitration Proceeding
94-25 SEC Approves Amendments To Filing Requirements For Communications Regarding Mutual Fund Rankings And CMOs Effective June 1, 1994
94-24 SEC Approves Amendments To Remove The Member Vote Requirement For Amendments To The Rules Of Fair Practice And Incorporate Appendices Into Rules Of Fair Practice
94-23 Fixed Income Pricing System (FIPS) Begins Operation
94-22 Mail Vote—NASD Solicits Member Vote On Proposed Amendments To The Pre-Membership Interview Procedures;
94-21 Nasdaq National Market Additions, Changes, And Deletions As Of February 24, 1994
94-20 Good Friday: Trade Date-Settlement Date Schedule
94-19 Appointment Of A SI PC Trustee
94-18 Municipal Securities Rulemaking Board Preparing Way For T+3 Settlement Of Municipal Securities
94-17 SEC Reproposes Large-Trader Reporting System
94-16 NASD Reminds Members Of Mutual Fund Sales Practice Obligations
94-15 SEC Issues Alert Regarding Stolen Stock Certificates
94-14 NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice
94-13 SEC Approves Sales-Charge Disclosure Exemption For Money Market Mutual Funds
94-12 Nasdaq National Market Additions, Changes, And Deletions As Of January 27, 1994
94-11 Special Registration Review Surcharge Takes Effect March 1, 1994
94-10 Members Urged To Ensure Timely, Accurate, And Complete Trading Data Submissions
94-9 SEC Approves New NASD Rule Governing The Pricing Of Open Orders
94-8 SEC Approves NASD Rules Governing Access To And Use Of The OTC Bulletin Board Service
94-7 SEC Approves New NASD Rule Relating To The Obligations And Responsibilities Of Introducing And Clearing Firms
94-6 Solicitation Of Member Comment On Proposed Amendments To The Foreign Associate Provisions Of Schedule C To The NASD By-Laws;
94-5 Nasdaq National Market Additions, Changes, And Deletions as of December 27, 1993
94-4 Presidents' Day: Trade Date-Settlement Date Schedule
94-3 Annual Check List of NASD Notices to Members
94-2 1993-94 Renewal Rosters and Final Adjusted Invoices
94-1 SEC Approves New Small Order Execution System Rules