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92-5 Annual Check List of NASD Notices to Members

SUGGESTED ROUTING:*

Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.

The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special issue. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., should be sent to NASD Book Order Department, P.O. Box 9403, Gaithersburg, MD 20898-9403.

Notice

Date

Topic

91-1

1/91

Mail Vote: Proposed Amendments to the NASD Rules of Fair Practice Relating to Options Communications

91-2

1/91

Request for Comments From Members, Issuers, and Investors on Nasdaq Short-Sale Rule

91-3

1/91

Implementation of Matching Service in SOESSM Limit-Order File

91-4

1/91

1991 Renewal Roster and Final Adjusted Invoices

91-5

1/91

NASD 1991 Holiday Schedule

91-6

1/91

Trade Date-Settlement Date Schedule for 1991

91-7

1/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of December 12, 1990

91-8

1/91

Annual Check List of NASD Notices to Members

91-9

2/91

Request for Comments From Members on Proposed Changes to the Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws

91-10

2/91

Revised Entry and Annual Fees for Nasdaq System Issuers - Approval of Amendment to Schedule D

91-11

2/91

SEC Approval of Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events

91-12

2/91

Board of Governors' Approval of Service Charges for SelectNet™ and SOES

91-13

2/91

NASD Charges for Reviewing Advertisements and Sales Literature

91-14

2/91

Presidents' Day - Trade Date-Settlement Date Schedule

91-15

2/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of January 11, 1991

91-16

3/91

New Statutory Disqualification Categories; Notice to NASD Required No Later Than April 30, 1991

91-17

3/91

Good Friday - Trade Date-Settlement Date Schedule

91-18

3/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of February 8, 1991

91-19

4/91

Mail Vote: Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice Regarding the Suspension of the Membership of Any Member or of the Registration of a Person Associated With a . Member for a Definite Period Assessed as a Sanction for a Rule Violation

91-20

4/91

Adoption of Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital

91-21

4/91

Amendments to Schedule H Eliminating the Price and Volume Reporting Thresholds, and Expanding the Definition of Non-Nasdaq Security

91-22

4/91

SOES Tier Levels to Change for 417 Issues on April 15, 1991

91-23

4/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of March 13, 1991

91-24

5/91

Mail Vote: Proposed New Rule Re: Suspension or Cancellation of Registration for Failure to Pay Fees, Dues, or Other Assessments

91-25

5/91

Proposed Amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts

91-26

5/91

SEC Approval of Amendment Re: Use and Disclosure of Member Names

91-27

5/91

SEC Approval of Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member

91-28

5/91

Availability of the Series 17 Limited Registered Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom as NASD General Securities Representative

91-29

5/91

Memorial Day - Trade Date-Settlement Date Schedule

91-30

5/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of April 12, 1991

91-31

6/91

Solicitation of Members' Comments on Proposals to Curb SOES Abuses

91-32

6/91

Request for Comments on Compensation Arrangements for Activities of Registered Representatives Who Are Also Registered With the Securities and Exchange Commission as Investment Advisers

91-33

6/91

Request for Comments on Proposed Nonquantitative Designation Criteria for Partnerships Listed on the Nasdaq National Market System

91-34

6/91

Request for Comments on Amendments to the Filing Requirements of the Interpretation of the Board of Governors - Review of Corporate Financing

91-35

6/91

Proposed SEC "Penny Stock" Disclosure Rules

91-36

6/91

Adoption of Amendments to SEC Rule 15c2-11 Regarding Initiation or Resumption of Quotations Without Specified Information

91-37

6/91

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

91-38

6/91

Market-Maker Obligations in SelectNetSM

91-39

6/91

Limitations on Use of "Negative Response" Letters in Switching Customers From One Mutual Fund to Another

91-40

6/91

SEC Approval of Amendment Regarding Disclosure of Contingent Deferred Sales Charges on Confirmations

91-41

6/91

Department of Treasury Proposes Significant Amendments to the Regulation Issued on July 24, 1987 Under the Government Securities Act of 1986

91-42

6/91

Appointment of SIPC Trustees for Two Firms

91-43

6/91

Independence Day - Trade Date-Settlement Date Schedule

91-44

6/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, Deletions as of May 13, 1991

91-45

7/91

NASD/NYSE Joint Memo on Chinese Wall Policies and Procedures

91-46

7/91

Request for Comments on Exemption for Directly Marketed Mutual Funds From Article III, Section 21(c)(2)(ii) and (iii) of the Rules of Fair Practice Re: Customer Account Information Regarding Employment

91-47

7/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of June 12, 1991

91-48

8/91

Mail Vote: Proposed New Rule Re: Definition of Branch Office in Article III, Section 27(g)(2) and (g)(3) of the Rules of Fair Practice

91-49

8/91

Mail Vote: Proposed New Rule Re: Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws

91-50

8/91

NASD Board Authorizes Industry Committee to Design Program to Assure Continuing Qualifications of Securities Industry Professionals

91-51

8/91

Request for Comments on Proposed Changes to Schedule C to the NASD By-Laws Regarding the Sale of Partnership Debt by Direct Participation Programs Representatives and Principals

91-52

8/91

SEC Approval of Amendments to the Resolution of the Board of Governors - Notice to Membership and Press of Suspensions, Expulsions, Revocations, and Monetary Sanctions Under Article V, Section 1 of the Rules of Fair Practice Regarding the Effectiveness of and Publicity on Disciplinary Sanctions

91-53

8/91

Misuse of Treasury Form PD 1832, "Special Form of Detached Assignment for United States Registered Securities"

91-54

8/91

Labor Day - Trade Date-Settlement Date Schedule

91-55

8/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of July 24, 1991

91-56

9/91

SEC Approval of Amendments to Appendix F Concerning Member Participation in Partnership Rollups

91-57

9/91

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 of Material on the Issuer's Behalf to Beneficial Owners of Nasdaq Securities

91-58

9/91

Columbus Day - Trade Date-Settlement Date Schedule

91-59

9/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of August 23, 1991

91-60

10/91

Mail Vote: Proposed Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the NASD By-Laws Regarding Retention of Jurisdiction

91-61

10/91

SEC Approval of Amendment to Article VI, Sections 3 and 4 of NASD By-Laws Re: Suspension or Cancellation of Registration for Failure to Pay Fees, Dues, or Other Assessments

91-62

10/91

SEC Approval of Amendments to the NASD Rules of Fair Practice Relating to Options Communications

91-63

10/91

SEC Approval of Amendments to the NASD Uniform Practice Code

91-64

10/91

SOES Tier Levels to Change for 487 Issues on October 31, 1991

91-65

10/91

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

91-66

10/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of September 25, 1991

91-67

10/16/91

SEC Approves Rules to Curb SOES Abuse

91-68

11/91

Mail Vote: Proposed Amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts

91-69

11/91

Application of NASD Rules, Interpretations, By-Laws, and Federal Securities Laws to the Secondary Market in Direct Participation Program Interests

91-70

11/91

SEC Approval and Startup of Nasdaq International™ Service

91-71

11/91

Broker/Dealer and Agent Renewals for 1991-92

91-72

11/91

Enhancements to the Firm Access Query System (FAQS)

91-73

11/91

Revised Forms U-4 and U-5 Go into Effect

91-74

11/91

Replacement of Certificates of Deposit by Bond Mutual Funds

91-75

11/91

Appointment of SIPC Trustee for Three Firms

91-76

11/91

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

91-77

11/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of October 23, 1991

91-78

12/91

Request for Comments on Member Participation in Partnership Rollups and Listing of Securities Resulting From Rollups on Nasdaq/NMS

91-79

12/91

Request for Comments on Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts and Proposed Amendments to the NASD Rules of Fair Practice to Incorporate Items From the Guidelines

91-80

12/91

Request for Comments on Proposed Amendments to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption from the Rule for Negative Comment Letters Used in Certain Bulk Exchanges of Money Market Mutual Funds

91-81

12/91

Reporting Information on Form BD

91-82

12/91

Proposed Revision of NASD Manual

91-83

12/91

NASD 1992 Holiday Schedule

91-84

12/91

Trade Date-Settlement Date Schedule for 1992

91-85

12/91

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of November 25, 1991


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