View Whole Section Print Print Manager Link
Previous Next

1992


View whole section

Contents:
For Your Information
92-72 SEC Adopts Significant Amendments to the Net Capital Rule, Proposes Others for Public Comment
92-71 Nasdaq National Market® Additions, Changes, and Deletions as of November 20, 1992
92-70 Trade Date-Settlement Date Schedule for 1993
92-69 NASD 1993 Holiday Schedule
92-68 Federal and State Legislative Update
92-67 NASD® Responds to SEC's Market 2000 Concept Release
92-66 Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds
92-65 SEC Approval of Amendments Concerning the 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
92-64 Nasdaq National Market Additions, Changes, and Deletions as of October 26, 1992
92-63 Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule
92-62 SOES Tier Levels to Change for 538 Issues on December 1, 1992
92-61 Revised Form BD Goes Into Effect November 16, 1992
92-60 SEC Approval of Amendments Relating to Periodic Account Statements
92-59 SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations
92-58 SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992
92-57 Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992
92-56 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
92-55 Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992
92-54 Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule
92-53 Underwriting Compensation Received by Members in Public Corporate Equity Offerings
92-52 Broker/Dealer and Agent Renewals for 1992-93
92-51 SEC Approval of Amendments Relating to "When, as and if Issued" and "When, As and if Distributed" Contracts; Effective November 2, 1992
92-50 Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD® By-Laws
92-49 Nasdaq National Market Additions, Changes, and Deletions as of August 25, 1992
92-48 Columbus Day — Trade Date-Settlement Date Schedule
92-47 The Role of the NASD's Standing Committees
92-46 Nasdaq National Market Additions, Changes, and Deletions as of July 28, 1992
92-45 SEC Adopts Temporary Risk Assessment Rules
92-44 Appointment of a SIPC Trustee for Two Firms
92-43 Labor Day — Trade Date-Settlement Date Schedule
92-42 Penny Stock Risk Disclosure Document
92-41 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
92-40 Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992
92-39 Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks
92-38 SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990
92-37 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
92-36 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: Aug
92-35 Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992
92-34 Independence Day — Trade Date-Settlement Date Schedule
92-33 Providing of Proxy Voting Advice to Customers
92-32 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
92-31 SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons
92-30 Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992
92-29 Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992
92-28 SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters
92-27 Advertising of Collateralized Mortgage Obligations by NASD Members
92-26 SEC Approval of Trade Reporting for Regular Nasdaq Securities
92-25 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
92-24 Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992
92-23 Memorial Day — Trade Date-Settlement Date Schedule
92-22 Appointment of SIPC Trustees for Four Firms
92-21 SOES Tier Levels to Change for 431 Issues on May 4, 1992
92-20 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
92-19 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
92-18 SEC Approval of Amendments to the Definition of the Term "Branch Office" in Article III, Section 27 of the Rules of Fair Practice
92-17 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
92-16 NASD Policies and Procedures for Markups/Markdowns in Equity Securities
92-15 Nasdaq National Market Additions, Changes, and Deletions as of February 24, 1992
92-14 Good Friday — Trade Date-Settlement Date Schedule
92-13 Nasdaq National Market Additions, Changes, and Deletions as of January 27, 1992
92-12 SIPC Trustees Appointed for Two Securities Firms
92-11 Fees and Charges for Services
92-10 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
92-9 NASD/NYSE Special Alert Regarding Previously Cancelled Securities
92-8 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
92-7 Nasdaq National Market Additions, Changes, and Deletions as of December 19, 1991
92-6 Presidents' Day — Trade Date-Settlement Date Schedule
92-5 Annual Check List of NASD Notices to Members
92-4 Revision to the Investment Company Products/Variable Contracts Limited Principal Examination (Series 26)
92-3 1992 Renewal Rosters and Final Adjusted Invoices
92-2 SEC Approval of Amendments to Schedule C of the NASD By-Laws Relating to Applications for Membership
92-1 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