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1997


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Contents:
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
97-96 Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
97-95 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 21, 1997
97-94 NASD 1998 Holiday Schedule
97-93 Trade Date — Settlement Date Schedule for 1998
97-92 NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert
97-91 NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
97-90 SOES Tier-Size Levels Set To Change January 1, 1998
97-89 SEC Approves Bank Broker/Dealer Rule
97-88 SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority
97-87 Treasury Updates List Of Specially Designated Persons And Entities
For Your Information
97-86 Nominees For NASD Board Of Governors
97-85 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 24, 1997
97-84 Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
97-83 Exemption From SEC Rule 15c2-11 For Certain Securities Delisted From Nasdaq
97-82 SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers
97-81 NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs
97-80 SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments
97-79 NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements
97-78 SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program
97-77 NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice
97-76 Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
For Your Information
97-75 Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
97-74 SEC Approves Amendments To Legal Definition Of Short Sale
97-73 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
97-72 Veteran's Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
97-71 NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
97-70 Broker/Dealer And Agent Renewals For 1998
97-68 SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720
97-67 NASD Regulation Institutes Firm Quote Compliance
For Your Information
97-66 Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
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
97-64 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 22, 1997
97-63 Columbus Day: Trade Date — Settlement Date Schedule
97-62 SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement Of SEC Fee Rate Algorithm
97-61 SOES Tier Size Levels Set To Change October 1, 1997
97-60 SEC Approves New Procedures For Granting Exemptions To NASD Rules
97-59 NASD Regulation Requests Comment On Injunctive Relief And Expedited Proceedings
97-58 NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity
97-57 NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
97-56 Intermarket Surveillance Group Issues New Automated Reporting Requirements
For Your Information
97-55 New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules
97-54 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 25, 1997
97-53 Labor Day: Trade Date — Settlement Date Schedule
97-52 SEC Approves Amendments Relating To Market Maker Registration And Primary Market Maker Eligibility By Managers And Co-Managers Of Secondary Offerings
97-51 NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
97-50 NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives
97-49 Compliance With SEC Order Handling Rules And Nasdaq Trading Rules
97-48 NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products
97-47 NASD Regulation Requests Comment On Presentation Of Related Performance Information
97-46 SEC Approves Rule Prohibiting Payments For Market Making
97-45 Corrected List of SOES Tier Size Levels
For Your Information
97-44 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 20, 1997
97-43 SEC Amends Broker/Dealer Record Retention Rule
97-42 SEC Approves Amendments Relating To The Release Of Disciplinary Information
97-41 NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market
97-40 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1997
97-39 Independence Day: Trade Date — Settlement Date Schedule
97-38 SOES Tier Levels Set To Change July 1, 1997
97-37 NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public
97-36 NASD Interpretive Letters
97-35 Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities
97-34 Depository Trust Company To Launch Initial Public Offering Tracking System
For Your Information
97-33 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1997
97-32 NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC
97-31 NASD Reminds Registered Persons Of Continuing Obligation To Update NASD Records
97-30 NASD Regulation Requests Comments On Amendments To The Free-Riding And Withholding Interpretation
97-29 NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure
97-28 Approval Of Investment Company Rankings Amendments
97-27 Application Of NASD Conduct Rules To Group Variable Contracts And Other Exempted Securities
97-26 NASD Regulation Files Amendment To Bank Broker/Dealer Rule With The SEC
97-25 NASD Interpretive Position—NASD Rule 3050—Transactions For Or By Associated Persons
97-24 "Limited Edition" Treasury Securities
97-23    1997 Direct Participation Program Directory
For Your Information
97-22 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 24, 1997
97-21 Memorial Day: Trade Date — Settlement Date Schedule
97-20 Members Reminded To Report Executive Representative And Address Changes
97-19 NASD Regulation And New York Stock Exchange Memorandum Discusses Sweep Report And Provides Guidance On Heightened Supervision Recommendations
97-18 Fixed Income Pricing System Additions,Changes,And Deletions As Of February 21, 1997
97-17 SOES Tier Levels Set To Change April 1, 1997
97-16 NASD Updates Year 2000 Activities And Advises Members
97-15 SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale
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
97-13 Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds
97-12 NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information
97-11 NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members
97-10 SEC To Approve Amendments To NASD Rules To Facilitate Compliance With SEC Regulation M
97-9 Industry/Regulatory Council On Continuing Education Issues Continuing Education Program Firm Element Advisory
97-8 SEC Approves Quotation And Transaction Reporting Of Direct Participation Programs
For Your Information
97-7 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 1997
97-6 Good Friday: Trade Date — Settlement Date Schedule
97-5 Annual Check List of NASD Notices to Members
97-4 NASD Reminds Members About Treasury's Foreign Assets Control Regulations
For Your Information
97-3 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1996
97-2 Presidents' Day: Trade Date — Settlement Date
97-1 Approval Of Telemarketing Amendments
For Your Information