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98-24 Annual Checklist Of NASD Notices To Members

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The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $25 per monthly or special issue. A two-volume, bound and indexed edition of the entire year's Notices is also available for $100. 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 MediaSourceSM, P.O. Box 9403, Gaithersburg, MD 20898-9403. Credit card telephone orders can be made by calling (301) 590-6142, Monday through Friday, 9 a.m. to 5 p.m., Eastern Time.

January   Page
97-1 Approval Of Telemarketing Amendments 3
97-2 Presidents' Day Trade Date-Settlement Date 7
97-3 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1996 9
February    
97-4 NASD Reminds Members About Treasury's Foreign Assets Control Regulations 27
97-5 Annual Check List Of NASD Notices To Members 37
97-6 Good Friday: Trade Date-Settlement Date Schedule 43
97-7 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 1997 45
March    
97-8 SEC Approves Quotation And Transaction Reporting Of Direct Participation Programs 63
97-9 Industry/Regulatory Council On Continuing Education Issues Continuing Education Program Firm Element Advisory 75
97-10 SEC To Approve Amendments To NASD Rules To Facilitate Compliance With SEC Regulation M 85
97-11 NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members; Comment Period Expires April 30, 1997 101
97-12 NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information; Comment Period Expires April 30, 1997 107
97-13 Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds 113
97-14 NASD Files With The SEC Proposed Amendment To Regulate The Disclosure Of Values For Illiquid Direct Participation Program And Real Estate Investment Trust Securities On Customer Account Statements 119
97-15 SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale 125
97-16 NASD Updates Year 2000 Activities And Advises Members 127
97-17 SOES Tier Levels Set To Change April 1, 1997 129
97-18 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 21, 1997 139
April    
97-19 NASD Regulation And New York Stock Exchange Memorandum Discusses Sweep Report And Provides Guidance On Heightened Supervision Recommendations 155
97-20 Members Reminded To Report Executive Representative And Address Changes 165
97-21 Memorial Day: Trade Date-Settlement Date Schedule 167
97-22 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 24, 1997 169
May    
97-23 1997 Direct Participation Program Directory 183
97-24 "Limited Edition" Treasury Securities 215
97-25 NASD Interpretive Position-NASD Rule 3050-Transactions For Or By Associated Persons 217
97-26 NASD Regulation Files Amendment To Bank Broker/Dealer Rule With The SEC 219
97-27 Application Of NASD Conduct Rules To Group Variable Contracts And Other Exempted Securities 225
97-28 Approval Of Investment Company Rankings Amendments 227
97-29 NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure; Comment Period Expires June 30, 1997 229
97-30 NASD Regulation Requests Comment On Amendments To The Free-Riding And Withholding Interpretation; Comment Period Expires June 16, 1997 235
97-31 NASD Reminds Registered Persons Of Continuing Obligation To Update NASD Records 243
97-32 NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC 245
97-33 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1997 247
June    
97-34 Depository Trust Company To Launch Initial Public Offering Tracking System 267
97-35 Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities 271
97-36 NASD Interpretive Letters 285
97-37 NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public; Comment Period Expires July 15, 1997 291
97-38 SOES Tier Levels Set To Change July 1, 1997 301
97-39 Independence Day: Trade Date-Settlement Date Schedule 309
97-40 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1997 311
Special June 1997
97-41 NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market; Comment Period Expires July 15, 1997 325
July    
97-42 SEC Approves Amendments Relating To The Release Of Disciplinary Information 335
97-43 SEC Amends Broker/Dealer Record Retention Rule 341
97-44 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 20, 1997 349
August    
97-45 Corrected List Of SOES Tier Size Levels Effective July 1, 1997 363
97-46 SEC Approves Rule Prohibiting Payments For Market Making 371
97-47 NASD Regulation Requests Comment On Presentation Of Related Performance Information; Comment Period Expires September 29, 1997 377
97-48 NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products; Comment Period Expires September 29, 1997 387
97-49 Compliance With SEC Order Handling Rules And Nasdaq Trading Rules 401
97-50 NASD Regulation Requests Comment On Regulation Of Payment And Receipt Of Cash Compensation Incentives; Comment Period Expires October 15, 1997 405
97-51 NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37 413
97-52 SEC Approves Amendments Relating To Market Maker Registration And Primary Market Maker Eligibility By Managers And Co-Managers Of Secondary Offerings 417
97-53 Labor Day: Trade Date-Settlement Date Schedule 419
97-54 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 25, 1997 421
Special August 1997
97-55 New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules 437
September    
97-56 Intermarket Surveillance Group Issues New Automated Reporting Requirements 447
97-57 NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities 457
97-58 NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity; Comment Period Expires October 31, 1997 463
97-59 NASD Regulation Requests Comment On Injunctive Relief And Expedited Proceedings; Comment Period Expires October 31, 1997 469
97-60 SEC Approves New Procedures For Granting Exemptions To NASD Rules 477
97-61 SOES Tier Size Levels Set To Change October 1, 1997 485
97-62 SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement Of SEC Fee Algorithm 493
97-63 Columbus Day: Trade Date-Settlement Date Schedule 495
97-64 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 22, 1997 497
97-65 Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages 499
Special September 1997
97-66 Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary 517
October    
Special October 1997
97-67 NASD Regulation Institutes Firm Quote Compliance 519
97-68 SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997 529
  No Notice has been designated as 97-69  
97-70 Broker/Dealer And Agent Renewals For 1998 535
97-71 NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts 539
97-72 Veteran's Day And Thanksgiving Day: Trade Date-Settlement Date Schedule 541
97-73 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997 543
97-74 SEC Approves Amendments To Legal Definition Of Short Sale 545
Special October 14, 1997
97-75 Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board; Last Voting Date: November 13, 1997 563
November    
97-76 Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities 657
97-77 NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 And U-5, Qualified Immunity, And Advance Employee Notice; Comment Period Expires December 31, 1997 659
97-78 SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program 667
97-79 NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements; Comment Period Expires December 1, 1997 669
97-80 SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments; Effective Immediately 677
97-81 NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs; Comment Period Expires January 9, 1998 681
97-82 SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers; Effective December 15, 1997 691
97-83 Exemption From SEC Rule 15c2-11 For Certain Securities Delisted From Nasdaq 699
97-84 Christmas Day And New Year's Day; Trade Date-Settlement Date Schedule 701
97-85 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 24, 1997 703
Special November 15, 1997
97-86 Nominees For NASD Board Of Governors 719
December    
97-87 Treasury Updates List Of Specially Designated Persons And Entities 729
97-88 SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority; Effective Immediately 733
97-89 SEC Approves Bank Broker/Dealer Rule; Effective February 15, 1998 735
97-90 SOES Tier-Size Levels Set To Change January 1, 1998 747
97-91 NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation 755
97-92 NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert; Comment Period Expires January 31, 1998 757
97-93 Trade Date-Settlement Date Schedule For 1998 761
97-94 NASD 1998 Holiday Schedule 767
97-95 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 21, 1997 769
Special December 1997
97-96 Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey 783
Special December 30, 1997
97-97 Mail Vote—NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts; And For Other Purposes; Last Voting Date: January 30, 1998 787

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