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95-03 Annual checklist of NASD Notices To Members

The NASD published the following Notices to Members during 1994. 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. Request, 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 MediaSourceSM, 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

94-1

1/5/94

SEC Approves New Small Order Execution System Rules

1

94-2

1/94

1993-94 Renewal Rosters And Final Adjusted Invoices

5

94-3

1/94

Annual Check List Of NASD Notices to Members

7

94-4

1/94

Presidents' Day: Trade Date-Settlement Date Schedule

13

94-5

1/94

Nasdaq National Market Additions, Changes, And Deletions As Of December 27, 1993

15

94-6

2/94

Solicitation Of Member Comment On Proposed Amendments To The Foreign Associate Provisions Of Schedule C To The NASD By-Laws; Comment Period Expires March 31, 1994

31

94-7

2/94

SEC Approves New NASD Rule Relating To The Obligations And Responsibilities Of Introducing And Clearing Firms

35

94-8

2/94

SEC Approves NASD Rules Governing Access To And Use Of The OTC Bulletin Board Service

39

94-9

2/94

SEC Approves New NASD Rule Governing The Pricing Of Open Orders

43

94-10

2/94

Members Urged To Ensure Timely, Accurate, And Complete Trading Data Submissions

47

94-11

2/94

Special Registration Review Surcharge Takes Effect March 1, 1994

49

94-12

2/94

Nasdaq National Market Additions, Changes, And Deletions As Of January 27, 1994

51

94-13

3/94

SEC Approves Sales-Charge Disclosure Exemption For Money Market Mutual Funds

73

94-14

3/94

NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice

75

94-15

3/94

SEC Issues Alert Regarding Stolen Stock Certificates

77

94-16

3/94

NASD Reminds Members Of Mutual Fund Sales Practice Obligations

81

94-17

3/94

SEC Reproposes Large-Trader Reporting System

85

94-18

3/94

Municipal Securities Rulemaking Board Preparing Way For T+3Settlement Of Municipal Securities

87

94-19

3/94

Appointment Of A SIPC Trustee .89

 

94-20

3/94

Good Friday: Trade Date-Settlement Date Schedule

91

94-21

3/94

Nasdaq National Market Additions, Changes, And Deletions As Of February 24, 1994

93

94-22

4/94

Mail-Vote-NASD Solicits Member Vote On Proposed Amendments To The Pre-Membership Interview Procedures; Last Voting Date: May 31, 1994

105

94-23

4/94

Fixed Income Pricing System (FIPS) Begins Operation

111

94-24

4/94

SEC Approves Amendments To Remove The Member Vote Requirement For Amendments To The Rules Of Fair Practice And Incorporate Appendices Into Rules Of Fair Practice

137

94-25

4/94

SEC Approves Amendments To Filing Requirements For Communications Regarding Mutual Fund Rankings And CMOs Effective June 1, 1994

141

94-26

4/94

SEC Approves Surcharge On Any NASD Member Named As A Party To An Arbitration Proceeding

145

94-27

4/94

Increased Advertising Regulation Department Filing Fees Take Effect May 1, 1994

147

94-28

4/94

Effectiveness Of New Section 46 Of Article III Of The Rules Of Fair Practice Delayed Until September 15, 1994

149

94-29

4/94

SEC Approves Use Of Market-Maker Identifiers For OTCBB And Elimination Of Certain Schedule H Reporting Requirements

151

94-30

4/94

Memorial Day: Trade Date-Settlement Date Schedule

153

94-31

4/94

Nasdaq National Market Additions, Changes, And Deletions As Of March 28, 1994

155

94-32

5/94

SEC Chairman Endorses Periodic Training Of All Registered Personnel

173

94-33

5/94

SEC Approves MSRB Rule G-19 Amendments

175

94-34

5/94

SEC Approves MSRB Rule G-37

177

94-35

5/94

SEC Approves NBCC-Review Subcommittee

193

94-36

5/94

SEC Approves Communication Guidelines For Variable Products

195

94-37

5/94

SEC Issues Interpretive Statement Regarding Municipal Securities Disclosure; Proposes Changes To Rule 15c2-12

201

94-38

5/94

SEC Seeks Comment On Rule 10b-10 Changes And New Rule 15c2-13

215

94-39

5/94

Treasury Implements Buy-In Requirements For Government Securities

217

94-40

5/94

NASD Solicits Member Comment On Trading Activity In Advance Of Research Reports; Comment Period Expires June 15, 1994

219

94-41

5/94

NASD Clarifies Compensation Disclosure Requirements For Mutual Funds

223

94-42

5/94

Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1994

225

94-43

5/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of April 29, 1994

229

94-44

5/15/94

Board Approves Clarification On Applicability Of Article III, Section 40 Of Rules Of Fair Practice To Investment Advisory Activities Of Registered Representatives

245

94-45

6/94

SEC Approves Schedule E Conflict-Of-Interest Provisions

249

94-46

6/94

NASD Reminds Members Of Their Obligations When Trading Options

255

94-47

6/94

SEC Issues Policy Governing Broker/Dealer Activity On Bank Premises

265

94-48

6/94

SOES Tier Levels Set To Change July 11, 1994

281

94-49

6/94

Independence Day: Trade Date-Settlement Date Schedule

289

94-50

6/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of May 25, 1994

291

94-51

6/94

Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1994

293

94-52

7/94

Mail Vote-NASD Solicits Member Vote On Proposed Amendments To The NASD By-Laws To Facilitate The NASD Manual Revision; Last Voting Date: August 29, 1994

307

94-53

7/94

Fed Proposes Amendments To Regulation T

315

94-54

7/94

NASD Solicits Public Comment On Approaches Governing Award Of Punitive Damages In Arbitration

319

94-55

7/94

Members Reminded To Report Address, Contact Changes To NASD

345

94-56

7/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of June 28, 1994

347

94-57

7/94

Nasdaq National Market Additions, Changes, And Deletions As Of June 28, 1994

349

94-58

7/15/94

SEC Approves New NASD Limit Order Protection Rule

365

94-59

8/15/94

Rule Proposals Of The Industry/Regulatory Council On Continuing Education

369

94-60

8/94

SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature

381

94-61

8/94

SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals

385

94-62

8/94

NASD Solicits Member Comment On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions; Comment Period Expires September 30, 1994

387

94-63

8/94

New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994

395

94-64

8/94

Labor Day: Trade Date-Settlement Date Schedule

399

94-65

8/94

Nasdaq National Market Additions, Changes, And Deletions As Of July 28, 1994

401

94-66

8/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of July 29, 1994

405

94-67

8/22/94

NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities; Comment Period Expires October 3, 1994

429

94-68

8/25/94

SEC Approves Short-Sale Rule For The Nasdaq Stock Market

441

94-69

9/94

Committee On Compensation Practices Requests Comment; Comment Period Expires October 14, 1994

461

94-70

9/94

SEC Approves Adoption Of NASD Limited Partnership Rollup Transaction Rules; Effective Date: November 1, 1994

463

94-71

9/94

SEC Approves Amendments To Trade-Reporting Requirements For Trades Executed Outside Normal Market Hours

481

94-72

9/94

SEC Approves Elimination Of Access Market-Maker Procedures

487

94-73

9/94

SEC Approves Clearance And Settlement Proposal For Nasdaq And OTCBB Market Makers

489

94-74

9/94

NASAA Publishes Form Revisions For Public Comment: Comment Period Expires October 1, 1994

491

94-75

9/94

NASD Requests Comment On Standardized Forms Proposed For DPP Securities; Comment Period Expires October 17, 1994

493

94-76

9/94

Columbus Day: Trade Date-Settlement Date Schedule

501

94-77

9/94

Nasdaq National Market Additions, Changes, And Deletions As Of August 29, 1994

503

94-78

9/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of August 29, 1994

507

94-79

9/23/94

NASD Solicits Member Comment On Board Proposals To Extend Customer Limit-Order Protection; Comment Period Expires November 7, 1994

517

94-80

10/94

SEC Approves NASD Proposal Requiring Members To Annotate Their Affirmative Determinations As To Stock Availability Made In Connection With Short Sales

521

94-81

10/94

SEC Approves NASD Proposal To Require CQS Market-Maker Participation In ITS/CAES And CAES

525

94-82

10/94

NASD Solicits Comment On Proposed Amendment To The Corporate Financing Rule Relating To Rights Of First Refusal; Comment Period Expires November 30, 1994

529

94-83

10/94

NASD Provides Additional Guidance Concerning The Operation Of The NASD Short-Sale Rule

533

94-84

10/94

Broker/Dealer And Agent Renewals For 1994-95

537

94-85

10/94

Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule

541

94-86

10/94

NASD 1995 Holiday Schedule

543

94-87

10/94

Nasdaq National Market Additions, Changes, And Deletions As Of September 29, 1994

545

94-88

10/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of September 30, 1994

549

94-89

11/94

Fed Amends Regulation T

563

94-90

11/94

Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule

565

94-91

11/94

Nasdaq National Market Additions, Changes, And Deletions As Of October 27, 1994

567

94-92

11/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of October 31, 1994

571

94-93

12/94

NASD Requests Comment On Proposed Rule Governing Registered Persons Lending To Or Borrowing From Customers; Comment Period Expires January 31, 1995

587

94-94

12/94

NASD Requests Comment On Proposed Rule Governing Members Operating On Bank Premises; Comment Period Expires February 15, 1995

589

94-95

12/94

NASD Requests Comment On Proposed Customer Complaint Rules; Comment Period Expires January 31, 1995

595

94-96

12/94

NASD Requests Comment On Disclosure Of Partnership Valuations On Customer Account Statements; Comment Period Expires January 17, 1995

599

94-97

12/94

Treasury Proposed Risk Assessment Rules For Government Securities Brokers/Dealers; Comment Period Expires January 17, 1995

603

94-98

12/94

SEC Approves NASD Listing Requirements Proposal To Prohibit Immediate Delistings Of Units

605

94-99

12/94

Trade Date-Settlement Date Schedule For 1995

607

94-100

12/94

Nasdaq National Market Additions, Changes, And Deletions As Of November 28, 1994

613

94-101

12/94

Fixed Income Pricing System Additions, Changes, And Deletions As Of November 28, 1994

617

94-102

12/23/94

New Exercise Advice Procedures For Expiring Equity Options

631


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