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1993


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93-91 Nasdaq National Market® Additions, Changes, And Deletions as of November 26, 1993
93-90 Trade Date-Settlement Date Schedule for 1994
93-89 NASD 1994 Holiday Schedule
93-88 SEC Approves Amendment Clarifying The Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities;
93-87 NASD Provides Guidance for Reinvestment of Maturing Certificates of Deposit in Mutual Funds
93-86 SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Resolution of Fails Resulting From Account Transfers;
93-85 SEC Approves Amendments to CMO Advertising Guidelines:
93-84 SEC Approves Amendments Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Persons;
93-83 SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions And Convertible Debt Transactions
93-82 Mail Vote—NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
93-81 NASD Reminds Members of the Requirement for Fairness Of Agency Commissions And Applicability of the 5% Policy
93-80 Nasdaq National Market(r) Additions, Changes, And Deletions as of October 25, 1993
93-79 Christmas Day: Trade Date-Settlement Date Schedule
93-78 SEC Approves Extension Of MSRB Continuing Disclosure Information Pilot System
93-77 SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions
93-76 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;
93-75 Nasdaq National Market(r) Additions, Changes, And Deletions as of September 24, 1993
93-74 Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedule
93-73 Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)
93-72 SEC Approves Major Revisions to Rule 17a-11
93-71 SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking
93-70 SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities
93-69 Broker/Dealer and Agent Renewals for 1993-94
93-68 Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds
93-67 Board Eliminates Disclosure Safe Harbor For Members Trading Ahead of Their Own Customers' Limit Orders
93-66 Nasdaq National Market(r) Additions, Changes, And Deletions as of August 24, 1993
93-65 Columbus Day: Trade Date-Settlement Date Schedule
93-64 SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993
93-63 SEC Approves Changes To Make All Arbitration Awards Publicly Available: Effective October 1, 1993
93-62 Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities
93-61 Mail Vote — NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders;
93-60 Nasdaq National Market(r) Additions, Changes, And Deletions as of July 22, 1993
93-59 Labor Day: Trade Date-Settlement Date Schedule
93-58 NASD Member Buying Services Provides Members With Discounted Products And Services
93-57 SOES Tier Levels Set to Change for 517 Issues On September 1, 1993
93-56 Quotation and Trade-Reporting Requirements For Members Dealing in High-Yield Bonds
93-55 SEC Amends and Clarifies Penny Stock Rules
93-54 SEC Approves Quotation-Size Requirements for Market Makers in OTC Equity Securities
93-53 SEC Approves Amendments Relating to Close Outs of Short Sales and Bona Fide Fully Hedged or Arbitraged Positions
93-52 Mail Vote — Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements;
93-51 Mail Vote — Proposed Amendment to the Corporate Financing Rule Relating to Fairness and Reasonableness of Anti-Dilution Provisions in Underwriters' Warrants, Options, and Convertible Securities;
93-50 Mail Vote — Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations And Supervisory Responsibilities of Introducing and Clearing Firms;
93-49 Solicitation of Member Comment on Board Action to Eliminate the Disclosure Safe Harbor for Customer Limit Orders;
93-48 Nasdaq National Market(r) Additions, Changes, And Deletions
93-47 SEC Permits Use of Optical Storage Technology for Records Retention
93-46 SEC Provides Additional Clarifications and Interpretations to Net Capital Rule Amendments
93-45 SEC Approves Mandatory Book-Entry Settlement of Transactions in Depository-Eligible Securities
93-44 SEC Approves Increase In Non-Cash Sales Incentive Compensation
93-43 SEC Approves Modified Excess Spread Parameters for Market Makers
93-42 SEC Approves NASD's Minor Rule Violations Plan
93-41 SEC Approves Schedule D Amendments Permitting Excused Withdrawal or Passive Market-Making Status for Distribution Participants That Are Nasdaq Market Makers
93-40 Request for Comments on Proposed Amendments to the Free-Riding and Withholding Interpretation Under Article III, Section 1 of the Rules of Fair Practice
93-39 Nasdaq National Market(r) Additions, Changes, And Deletions as of May 24, 1993
93-38 Independence Day: Trade Date-Settlement Date Schedule
93-37 NASD® Expands the Public Disclosure Program
93-36 Codification of Investment Company Advertising Guidelines
93-35 Mail Vote — Proposed Amendment to the Procedures for Filling Vacancies on NASD® Nominating Committees;
93-34 Nasdaq National Market(r) Additions, Changes, And Deletions as of April 23, 1993
93-33 The Role of the NASD's Disciplinary Committees
93-32 NASD Publishes Sanction Guidelines To Familiarize Members With Major Violations And Penalties
93-31 SEC Requests Comments on Proposal To Establish Three-Business-Day Settlement For Securities Transactions
93-30 NASD Provides SEC-Approved Clarifications and Interpretations to Recent Net Capital Rule Amendments
93-29 SEC Approves Rule 10b-6 Passive Market Making and Changes to Notification Procedures Under Schedule D of the NASD By-Laws
93-28 Nasdaq National Market(r) Additions, Changes, And Deletions as of March 23, 1993
93-27 Memorial Day: Trade Date-Settlement Date Schedule
93-26 NASD Urges Members to Provide Complete and Accurate Blue Sheet Submissions
93-25 SEC Approves New Trade-Reporting Requirements for Late-Trade Reports
93-24 SEC Approves Fifth-Character Identifier In Market-Maker Symbols for Non-Primary Trading Location
93-23 SEC Approves New NASD Margin Rules
93-22 Nasdaq National Market(r) Additions, Changes, And Deletions as of February 22, 1993
93-21 Good Friday: Trade Date-Settlement Date Schedule
93-20 NASD and Other SROs Launch Continuing Education Effort for Member Firms
93-19 NASD Reminds Members to Settle Syndicate Accounts Within 90 Days of the Settlement Date
93-18 SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public
93-17 SEC Approves Changes To Uniform Practice Code Establishing Close-Out Procedures for Fails
93-16 SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings For Failing to Pay an Arbitration Award
93-15 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;
93-14 Nasdaq National Market(r) Additions, Changes, And Deletions as of January 21, 1993
93-13 Market-Maker Display of Size in Nasdaq Small-Cap MarketSM Securities
93-12 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
93-11 SEC Grants OTC Bulletin Board® Interim Designation As a "Qualifying Electronic Quotation System"
93-10 Request for Comments On Proposed Amendment to the Corporate Financing Rule Relating to the Fairness And Reasonableness of Underwriter Warrant's Anti-Dilution Provisions
93-9 SEC Approves Amendments to NASD® Rules Governing Transaction Reporting
93-8 SEC Approval of Amendment Relating To the Payment of Gratuities or Anything Of Value by Members To Others
93-7 Nasdaq National Market Additions, Changes, And Deletions As of December 21, 1992
93-6 Presidents' Day — Trade Date-Settlement Date Schedule
93-5 Annual Check List of NASD Notices to Members
93-4 1993 Renewal Rosters And Final Adjusted Invoices
93-3 SEC Approval of Amendments to Branch-Office Fees
93-2 Market-Maker Obligations With Regard to Display of Size in Quotations
93-1 SEC Approval of Amendment to Article III, Section 15 of the NASD® Rules of Fair Practice; Effective December 3, 1992