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94-3 Annual Check List of NASD Notices to Members

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The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be sent to NASD MediaSource,SM P.O. Box 9403, Gaithersburg, MD 20898-9403. Credit card telephone orders for bound volumes can be made by telephoning (301) 590-6578, Monday to Friday, 9 a.m. to 5 p.m., Eastern Time.

Notice

Date

Topic

Page


93-1

1/93

SEC Approval of Amendment to Article III, Section 15 of the NASD Rules of Fair Practice; Effective December 3, 1992

3

93-2

1/93

Market-Maker Obligations With Regard to Display of Size in Quotations

5

93-3

1/93

SEC Approval of Amendments to Branch-Office Fees

7

93-4

1/93

1993 Renewal Rosters and Final Adjusted Invoices

9

93-5

1/93

Annual Check List of NASD Notices to Members

11

93-6

1/93

Presidents' Day - Trade Date-Settlement Date Schedule

15

93-7

1/93

Nasdaq National Market Additions, Changes, and Deletions as of December 21, 1992

17

93-8

2/93

SEC Approval of Amendment Relating to the Payment of Gratuities or Anything of Value by Members to Others

33

93-9

2/93

SEC Approves Amendments to NASD® Rules Governing Transaction Reporting

35

93-10

2/93

Request for Comments on Proposed Amendment to the Corporate Financing Rule Relating to the Fairness and Reasonableness of Underwriter Warrant's Anti-Dilution Provisions

41

93-11

2/93

SEC Grants OTC Bulletin Board® Interim Designation As a "Qualifying Electronic Quotation System"

45

93-12

2/93

Questions and Answers About New NASD® Rules Governing Investment Company Sales Charges - Article III, Sections 26(b) and (d) of the Rules of Fair Practice

49

93-13

2/93

Market-Maker Display of Size in Nasdaq Small-Cap Market™ Securities

61

93-14

2/93

Nasdaq National Market® Additions, Changes, and Deletions as of January 21, 1993

63

93-15

3/93

Mail Vote - Proposed Amendments to Articles VII and XII of the NASD By-Laws and Article III of the NASD Rules of Fair Practice to Make All Rule Approval Procedures Under the By-Laws Uniform; Last Voting Date: April 23, 1993

81

93-16

3/93

SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings for Failing to Pay an Arbitration Award

87

93-17

3/93

SEC Approves Changes to Uniform Practice Code Establishing Close-Out Procedures for Fails

89

93-18

3/93

SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public

99

93-19

3/93

NASD Reminds Members to Settle Syndicate Accounts Within 90 Days of the Settlement Date

105

93-20

3/93

NASD and Other SROs Launch Continuing Education Effort for Member Firms

107

93-21

3/93

Good Friday: Trade Date- Settlement Date Schedule

109

93-22

3/93

Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1993

111

93-23

4/2/93

SEC Approves New NASD Margin Rules

125

93-24

4/93

SEC Approves Fifth-Character Iden tifier in Market-Maker Symbols for Non-Primary Trading Location

147

93-25

4/93

SEC Approves New Trade-Reporting Requirements for Late-Trade Reports

149

93-26

4/93

NASD Urges Members to Provide Complete and Accurate Blue Sheet Submissions

153

93-27

4/93

Memorial Day: Trade Date- Settlement Date Schedule

157

93-28

4/93

Nasdaq National Market® Additions, Changes, and Deletions as of March 23, 1993

159

93-29

4/23/93

SEC Approves Rule 10b-6 Passive Market Making and Changes to Notification Procedures Under Schedule D of the NASD By-Laws

175

93-30

5/93

NASD Provides SEC-Approved Clarifications and Interpretations to Recent Net Capital Rule Amendments

189

93-31

5/93

SEC Requests Comments on Proposal to Establish Three- Business-Day Settlement for Securities Transactions

199

93-32

5/93

NASD Publishes Sanction Guide lines to Familiarize Members With Major Violations and Penalties

201

93-33

5/93

The Role of the NASD's Disciplinary Committees.

203

93-34

5/93

Nasdaq National Market Additions, Changes, and Deletions as of April 23, 1993

207

93-35

6/93

Mail Vote - Proposed Amendment to the Procedures for Filling Vacancies on NASD Nominating Committees; Last Voting Date: July 26, 1993

227

93-36

6/93

Codification of Investment Company Advertising Guidelines

229

93-37

6/93

NASD Expands the Public Disclosure Program

233

93-38

6/93

Independence Day: Trade Date- Settlement Date Schedule

235


93-39

6/93

Nasdaq National Market Additions, Changes, and Deletions as of May 24, 1993

237

93-40

6/15/93

Request for Comments on Proposed Amendments to the Free-Riding and Withholding Interpretation Under Article III, Section 1 of the Rules of Fair Practice

257

93-41

7/93

SEC Approves Schedule D Amendments Permitting Excused Withdrawal or Passive Market- Making Status for Distribution Participants That Are Nasdaq Market Makers

269

93-42

7/93

SEC Approves NASD's Minor Rule Violations Plan

275

93-43

7/93

SEC Approves Modified Excess Spread Parameters for Market Makers

279

93-44

7/93

SEC Approves Increase in Non-Cash Sales Incentive Compensation

281

93-45

7/93

SEC Approves Mandatory Book- Entry Settlement of Transactions in Depository-Eligible Securities

283

93-46

7/93

SEC Provides Additional Clarifications and Interpretations to Net Capital Rule Amendments

285

93-47

7/93

SEC Permits Use of Optical Storage Technology for Records Retention

289

93-48

7/93

Nasdaq National Market Additions, Changes, and Deletions as of June 22, 1993

295

93-49

7/23/93

Solicitation of Member Comment on Board Action to Eliminate the Disclosure Safe Harbor for Customer Limit Orders; Comment Period Expires August 31, 1993

311

93-50

8/93

Mail Vote - Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations and


Supervisory Responsibilities of Introducing and Clearing Firms; Last Voting Date: September 27, 1993

313

93-51

8/93

Mail Vote - Proposed Amend ment to the Corporate Financing Rule Relating to Fairness and Reasonableness of Anti-Dilution Provisions in Underwriters' War rants, Options, and Convertible Securities: Last Voting Date: September 27, 1993

317

93-52

8/93

Mail Vote - Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Require ments: Last Voting Date: September 27, 1993

323

93-53

8/93

SEC Approves Amendments Relating to Close Outs of Short Sales and Bona Fide Fully Hedged or Arbitraged Positions

325

93-54

8/93

SEC Approves Quotation-Size Requirements for Market Makers in OTC Equity Securities

329

93-55

8/93

SEC Amends and Clarifies Penny Stock Rules

331

93-56

8/93

Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds

335

93-57

8/93

SOES Tier Levels Set to Change for 517 Issues on September 1, 1993

339

93-58

8/93

NASD Member Buying Services Provides Members With Discounted Products and Services

347

93-59

8/93

Labor Day: Trade Date-Settlement Date Schedule

351

93-60

8/93

Nasdaq National Market® Additions, Changes, and Deletions as of July 22, 1993

353

93-61

9/93

Mail Vote - NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders; Last Voting Date: October 29, 1993.

375

93-62

9/93

Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities

379

93-63

9/93

SEC Approves Changes to Make All Arbitration Awards Publicly Available: Effective October 1, 1993

383

93-64

9/93

SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993

385

93-65

9/93

Columbus Day: Trade Date-Settlement Date Schedule

387

93-66

9/93

Nasdaq National Market® Additions, Changes, and Deletions as of August 24, 1993

389

93-67

10/93

Board Eliminates Disclosure Safe Harbor for Members Trading Ahead of Their Own Customers' Limit Orders

405

93-68

10/93

Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds

407

93-69

10/93

Broker/Dealer and Agent Renewals for 1993-94

411

93-70

10/93

SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities

415

93-71

10/93

SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking

417

93-72

10/93

SEC Approves Major Revisions to Rule 17a-11

425

93-73

10/93

Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)

431

93-74

10/93

Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule

435

93-75

10/93

Nasdaq National Market® Additions, Changes, and Deletions as of September 24, 1993

437

93-76

11/93

Mail Vote - NASD Solicits Member Vote on Filing Requirements for Use of Mutual Fund Rankings and Elimination of Sunset Provisions in Prefiling Requirements for CMO Advertisements; Last Voting Date: December 31, 1993

449

93-77

11/93

SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions

453

93-78

11/93

SEC Approves Extension of MSRB Continuing Disclosure Information Pilot System

473

93-79

11/93

Christmas Day: Trade Date- Settlement Date Schedule

475

93-80

11/93

Nasdaq National Market® Additions, Changes, and Deletions as of October 25, 1993

477

93-81

11/93

NASD Reminds Members of the Requirement for Fairness of Agency Commissions and Applicability of the 5% Policy

481

93-82

12/93

Mail Vote - NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements; Last Voting Date: January 31, 1994.

503

93-83

12/93

SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions and Convertible Debt Transactions

505

93-84

12/93

SEC Approves Amendments


Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Per sons; Effective Date: December 15, 1993

511

93-85

12/93

SEC Approves Amendments to CMO Advertising Guidelines: Effective Immediately

513

93-86

12/93

SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Reso lution of Fails Resulting From Account Transfers; Effective February 1, 1994

515

93-87

12/93

NASD Provides Guidance for Rein vestment of Maturing Certificates of Deposit in Mutual Funds

517


93-88

12/93

SEC Approves Amendment Clarifying the Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities; Effective Date: February 1, 1994

521

93-89

12/93

NASD 1994 Holiday Schedule

535

93-90

12/93

Trade Date-Settlement Date Schedule for 1994

537

93-91

12/93

Nasdaq National Market® Additions, Changes, and Deletions as of November 26, 1993

543


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