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1996


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Contents:
NASD Rule Filing Status
96-91 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1996
96-90 Trade Date — Settlement Date Schedule For 1997
96-89 NASD 1997 Holiday Schedule
96-88 SOES Tier Levels Set To Change January 2, 1997
96-87 NASD Regulation PROCTOR Transition To Sylvan Continues
96-86 NASD Regulation Reminds Members And Associated Persons That Sales Of Variable Contracts Are Subject To NASD Suitability Requirements
96-85 Customer Complaint Reporting Rule Update
96-84 NASD Regulation Solicits Comment On The Use Of Bond Mutual Fund Risk Ratings In Supplemental Sales Literature
96-83 NASD Regulation Solicits Comment On Proposed Rule Relating To Prohibition On Members Receiving Any Payment To Publish A Quotation, Make A Market In An Issuer's Securities, Or Submit An Application In Connection Therewith
96-82 NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence
96-81 SEC Transaction Fees Begin January 1, 1997, On Nasdaq And Other Prompt Last Sale Reported Non-Debt Transactions
For Your Information For December
96-80 SEC Requests Comments On Proposed Amendments To SEC Rules 17a-3 And 17a-4
96-79 Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996
96-78 Christmas Day And New Year's Day: Trade Date—Settlement Date Schedule
96-77 CRD Will Provide Firms With Advisory Messages When Significant Disciplinary Actions Require Reentry Of Individuals Into The Regulatory Element Of The Continuing Education Program
96-76 SEC Approves Amendment To IM-8310-2 Regarding The Availability Of Disciplinary Complaints And Disciplinary Decisions Upon Request
96-75 Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996
96-74 Veterans' Day And Thanksgiving Day: Trade Date—Settlement Date Schedule
96-73 Members Reminded To Report Executive Representative And Address Changes
96-72 NASD Regulation Computerized Delivery Site Transition To Sylvan Continues
96-71 Broker/Dealer And Agent Renewals For 1997
96-70 NASD Reminds Members Of Prohibition Against Commercial Use Of Information Filed Under The Federal Election Campaign Act
96-69 Industry/Regulatory Council On Continuing Education Issues Update On The Status Of The Securities Industry Continuing Education Program
96-68 NASD Solicits Member Comment On Proposed Rules Relating To Prospectus Disclosure Of Cash And Non-Cash Compensation For The Sale Of Investment Company Securities
96-67 Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds
96-66 SEC Expands Scope Of Conduct Rules And Other NASD Rules To Government Securities; Approves New Suitability Interpretation
96-65 New SEC Rules On Order Handling And Execution Of Customer Orders
96-64 Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
96-63 Columbus Day: Trade Date — Settlement Date Schedule
96-62 SOES Tier Levels Set To Change October 1, 1996
96-61 NASD Regulation Computerized Delivery Site Transition Continues
96-60 Clarification Of Members' Suitability Responsibilities Under NASD Rules With Special Emphasis On Member Activities In Speculative And Low-Priced Securities
96-59 NASD Solicits Member Comment On Proposed Rule Governing Tape Recording Of Telephone Conversations
96-58 Approval Of Amendments That Require Members To Provide Information To Other Regulators For Regulatory Purposes
96-57 Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
96-56 Labor Day: Trade Date — Settlement Date Schedule
96-55 NASD Regulation Offers Software To Help Members Comply With Continuing Education Requirements
96-54 NASD Regulation Reminds Members Of Reporting Obligations Of MSRB Rules G-37 And G-38, And Announces Sanction Guidelines For Failure To Report Form G-37/G-38
96-53 Approval Of Amendments To The Definitions Of Bona Fide Independent Market And Bona Fide Independent Market Maker
96-52 NASD Solicits Member Comments On Proposed Rules Relating To The Sale Of Variable Life Insurance Contracts And Variable Annuity Contracts
96-51 Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
96-50 Supervisory And Other Obligations Related To Use Of Electronic Media
96-49 Members Reminded To Report Address, Contact Changes To NASD
96-48 New London Training Center; Registered Representatives In England, Scotland, And Wales Must Comply With Continuing Education Requirements
96-47 NASD Regulation, Inc., Expanding Computerized Delivery Sites
96-46 CRD Disclosure Conversion
96-45 NASD Appoints Ombudsman
96-44 NASD Interprets NASD Rule 2110 And Files Telemarketing Rule Changes With SEC
96-43 SEC Approves NASD By-Laws Amendments Regarding Gross Revenue
96-42 Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
96-41 Independence Day: Trade Date — Settlement Date Schedule
96-40 SOES Tier Levels Set To Change July 1, 1996
96-39 Request For Comments On Proposed Changes To Regulations G, T, And U
96-38 Treasury Issues Letter Clarifying Recordkeeping Requirements For Forward Settling Repurchase Agreement Transactions
96-37 Fed Approves Amendments To Regulation T
96-36 SEC Approves Amendment To The Primary Market-Maker Standards
96-35 Mail Vote — NASD Solicits Member Vote On Amendments To The NASD By-Laws To Make By-Laws Consistent With The "Plan Of Allocation And Delegation Of Functions By NASD To Subsidiaries"
96-34 Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
NASD Rule Filing Status (As of April 29, 1996)
96-33 NASD Clarifies Rules Governing RR/IAs
Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
96-32 Members Reminded To Use Best Practices When Dealing In Speculative Securities
96-31 Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
96-30 Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
96-29 Memorial Day: Trade Date — Settlement Date Schedule
96-28 NASD Revises Sanction Guidelines
96-27 Significant Disciplinary Actions Prompt Reentry Into The Regulatory Element Of The Continuing Education Program
96-26 SEC Approves Schedule C Changes Regarding Use Of The Modified Series 7 To Qualify Canadian Registrants
96-25 SEC Approves NASD Manual Revisions; Publication Scheduled For May
96-24 SEC Approves Rule Mandating TIF Immobilization
96-23 Treasury Issues Updated List Of Specially Designated Nationals And Blocked Persons
96-22 Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
96-21 Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996
96-20 Good Friday: Trade Date — Settlement Date Schedule
96-19 Annual Check List of NASD Notices to Members
96-18 Compliance Desk Will Help Members Report Free-Riding And Withholding Information To NASD; Workshops Scheduled For Late April, Early May
96-17 SOES Tier Levels Set To Change April 1, 1996
96-16 NASD Adds Remote Sites to Deliver Training and Exams
96-15 SEC Approves NASD Proposals to Add Two New Options Position-Limit Tiers and Extend and Expand the NASD's Equity Option Position-Limit Hedge Exemption Pilot Program
96-14 SEC Approves Amendments To Sections 1(a)(v) And 73 Of NASD Uniform Practice Code Relating To The Use Of Standardized Limited Partnership Transfer Forms
96-13 Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996
96-12 Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996
96-11 Presidents' Day: Trade Date — Settlement Date Schedule
96-10 Expanded Limit-Order Protection Rule Gets Further Clarification By NASD
96-9 SEC Approves NASD Proposal Relating To Third-Market Trading In IPOs Of Exchange-Listed Securities
96-8 SEC Approves Amendments To Section 59 Of The Uniform Practice Code Clarifying Delivery Deadlines That May Be Specified In Buy-In Notices
96-7 Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996
96-6 Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995
96-5 CRD Redesign Requires Actions By Members
96-4 1995-96 Renewal Rosters And Final Adjusted Invoices
96-3 NASD Files With The SEC Proposed Rule Governing Members Operating On Bank Premises
96-2 SEC Approves Amendments To Article II, Section 4 Of The NASD By-Laws To Include Statutory Disqualification Provisions Adopted By Congress
96-1 Mail Vote - NASD Solicits Member Vote On Amendments To The NASD By-Laws To Require Members To File Required Documents Electronically