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93-5 Annual Check List of NASD Notices to Members

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The NASD® published the following Notices to Members during 1992. 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

92-1

1/92

Mail Vote: Proposed Amendment to Article VI, Section 3 of the By-Laws to Extend the NASD's Summary Suspension Procedures to Situations Where Members or Associated Persons Fail to Comply With Arbitration Awards; Last Voting Date: February 18, 1992

1

92-2

1/92

SEC Approval of Amendments to Schedule C of the NASD By-Laws Relating to Applications for Membership

3

92-3

1/92

1992 Renewal Rosters and Final Adjusted Invoices

7

92-4

1/92

Revision to the Investment Company Products/Variable Contracts Limited Principal Examination (Series 26)

9

92-5

1/92

Annual Check List of NASD Notices to Members

11

92-6

1/92

Presidents' Day — Trade Date-Settlement Date Schedule

15

92-7

1/92

Nasdaq National Market Additions, Changes, and Deletions as of December 19, 1991

17

92-8

1/29/92

Mail Vote: Proposed Amendment to Rules of Fair Practice, Article III, New Section 46: Short-Sale Rule for Nasdaq/NMS Securities and New Section 47: Primary Nasdaq Market Makers; Last Voting Date: March 13, 1992

31

92-9

2/92

NASD/NYSE Special Alert Regarding Previously Cancelled Securities

39

92-10

2/92

Approval of Amendments to Article III, Section 3 of the NASD By-Laws Regarding NASD Member Requirement to Appoint One Executive Representative Responsible for Voting and Acting for the Member in All Affairs Relating to the NASD

41

92-11

2/92

Fees and Charges for Services

45

92-12

2/92

SIPC Trustees Appointed for Two Securities Firms

47

92-13

2/92

Nasdaq National Market Additions, Changes, and Deletions as of January 27, 1992

49

92-14

3/92

Good Friday — Trade Date-Settlement Date Schedule

73

92-15

3/92

Nasdaq National Market Additions, Changes, and Deletions as of February 24, 1992

75

92-16

4/1/92

NASD Policies and Procedures for Markups/Markdowns in Equity Securities

89

92-17

4/92

Adoption of Amendments to Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice Re: Forwarding Proxy Material on the Request of Stockholders

101

92-18

4/92

SEC Approval of Amendments to the Definition of the Term "Branch Office" in Article III, Section 27 of the Rules of Fair Practice

105

92-19

4/92

Retention of Jurisdiction; SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V of the Association's Rules of Fair Practice

107

92-20

4/92

Sale of Direct Participation Program Debt Instruments by Limited Principals and Representatives; SEC Approval of Amendments to Parts II and III of Schedule C to the NASD's By-Laws

111

92-21

4/92

SOES Tier Levels to Change for 431 Issues on May 4, 1992

113

92-22

4/92

Appointment of SIPC Trustees for Four Firms

119

92-23

4/92

Memorial Day — Trade Date-Settlement Date Schedule

121

92-24

4/92

Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992

123

92-25

5/92

Mail Vote: Proposed Amendment to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption for Negative-Response Letters Used to Facilitate Certain Bulk Exchanges of Money Market Mutual Funds

141

92-26

5/92

SEC Approval of Trade Reporting for Regular Nasdaq Securities

145

92-27

5/92

Advertising of Collateralized Mortgage Obligations by NASD Members

151

92-28

5/92

SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters

155

92-29

5/92

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

175

92-30

6/92

Mail Vote: Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992

195

92-31

6/92

SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons

199

92-32

6/92

Request for Comments on Proposed Amendment to the Rules of Fair Practice Relating to the Respective Obligations and Supervisory Responsibilities of Introducing and Clearing Firms; Last Date for Comments: July 22, 1992

201

92-33

6/92

Providing of Proxy Voting Advice to Customers

205

92-34

6/92

Independence Day — Trade Date-Settlement Date Schedule

211

92-35

6/92

Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992

213

92-36

7/92

Mail Vote: Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice and Section 8 of the NASD's Government Securities Rules to Require Members to Prefile Advertisements for Collateralized Mortgage Obligations; Last Voting Date: August 21, 1992

237

92-37

7/92

Mail Vote: Proposed Amendment to Article III, Section 21 of the Rules of Fair Practice to Require Predispute Arbitration Agreements to Include a Notice That Class-Action Matters May Not Be Arbitrated; Last Voting Date: August 21, 1992

241

92-38

7/92

SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990

243

92-39

7/92

Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks

253

92-40

7/92

Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992

255

92-41

8/92

SEC Approval of Amendments to Article III, Section 26 of the NASD Rules of Fair Practice Regarding Limitations on Mutual Fund Asset-Based Sales Charges; Effective July 7, 1993

273

92-42

8/92

Penny Stock Risk Disclosure Document

281

92-43

8/92

Labor Day — Trade Date-Settlement Date Schedule

287

92-44

8/92

Appointment of a SIPC Trustee for Two Firms

289

92-45

8/92

SEC Adopts Temporary Risk Assessment Rules

291

92-46

8/92

Nasdaq National Market Additions, Changes, and Deletions as of July 28, 1992

307

92-47

9/92

The Role of the NASD's Standing Committees

333

92-48

9/92

Columbus Day — Trade Date-Settlement Date Schedule

337

92-49

9/92

Nasdaq National Market Additions, Changes, and Deletions as of August 25, 1992

339

92-50

10/92

Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD By-Laws

353

92-51

10/92

SEC Approval of Amendments Relating to "When, as and if Issued" and "When, as and if Distributed" Contracts; Effective November 2, 1992

361

92-52

10/92

Broker/Dealer and Agent Renewals for 1992-93

367

92-53

10/92

Underwriting Compensation Received by Members in Public Corporate Equity Offerings

371

92-54

10/92

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

375

92-55

10/92

Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992

377

92-56

11/92

Mail Vote: Proposed Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts (Guidelines) and Proposed Amendments to Article III Section 35 of the Rules of Fair Practice to Incorporate Items From the Guidelines; Last Voting Date: December 21, 1992

395

92-57

11/92

Mail Vote: Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992

403

92-58

11/92

SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992

411

92-59

11/92

SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations

413

92-60

11/92

SEC Approval of Amendments Relating to Periodic Account Statements

417

92-61

11/92

Revised Form BD Goes Into Effect November 16, 1992

421

92-62

11/92

SOES Tier Levels to Change for 538 Issues on December 1, 1992...425

 

92-63

11/92

Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule

431

92-64

11/92

Nasdaq National Market Additions, Changes, and Deletions as of October 26, 1992

433

92-65

12/92

SEC Approval of Amendments Concerning Exclusion of Class-Action Matters From Arbitration Proceedings and Requiring That Predispute Arbitration Agreements Include a Notice That Class-Action Matters May Not Be Arbitrated

451

92-66

12/92

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

455

92-67

12/92

NASD Responds to SEC's Market 2000 Concept Release

457

92-68

12/92

Federal and State Legislative Update

461

92-69

12/92

NASD 1993 Holiday Schedule

465

92-70

12/92

Trade Date-Settlement Date Schedule for 1993

467

92-71

12/92

Nasdaq National Market Additions, Changes, and Deletions as of November 20, 1992

471

92-72

12/15/92

SEC Adopts Significant Amendments to the Net Capital Rule, Proposes Others for Public Comment

489


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