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99-18 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 1998. 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
98-1 Arbitration Process Fees 3
98-2 SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization 7
98-3 Electronic Delivery Of Information Between Members And Their Customers 13
98-4 Reminder Of Members' Obligations To Comply With Rule 15c2-4 19
98-5 SEC Approves Changes To Third Market Trading Rules 29
98-6 SEC Approves Changes To Rules On Market Maker Withdrawals And Reinstatements 35
98-7 Unregistered Foreign Equities And ADRs No Longer Eligible For Quotation In OTC Bulletin Board; Effective April 1, 1998 41
98-8 Treasury Requires Reporting Of Claims Against Government Of North Korea 45
98-9 1997-98 Renewal Rosters And Final Adjusted Invoices 51
98-10 Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS) 53
98-11 SEC Approes Rules Regarding Supervision,Review, And Record Retention Of Correspondence; Effective February 15, 1998 59
98-12 Presidents' Day: Trade Date-Settlement Date Schedule 67
98-13 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 30, 1997 69
98-14 NASD Requests Comment On Limiting Quotations On Over-The-Counter Bulletin Board (OTCBB) To Securities Of Reporting Issuers; Comment Period Expires February 16, 1998 85
98-15 NASD Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For Over-The-Counter (OTC) Equity Securities; Comment Period Expires February 16, 1998 93

February   Page
98-16 SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42) 101
98-17 SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55) 107
98-18 NASD Regulation Permits Electronic Methods For Holding Annual Interviews Or Meetings With Registered Representatives 111
98-19 SEC Requests Comment On Proposed Amendments To Net Capital Rule 113
98-20 Treasury Updates List Of Specially Designated Persons And Entities 115
98-21 SEC Approves Amendments To Rule On Clearly Erroneous Transactions 123
98-22 Year 2000 Frequently Asked Questions 129
98-23 SEC Requests Comment On Proposed Amendments To Continuing Education Rules 133
98-24 Annual Checklist Of NASD Notices to Members 139
98-25 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 23, 1998 143
98-26 SEC Approves Temporary Changes To NYSE Circuit Breaker/Trading Halt Rules 145

March   Page
98-27 Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved 163
98-28 Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory 173
98-29 SOES Tier-Size Levels Set To Change April 1, 1998 183
98-30 NASD Office Of The Ombudsman Clarifies Its Role 191
98-31 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 1998 193
98-32 Good Friday: Trade Date-Settlement Date Schedule 195
98-33 SEC Approves New Order Audit Trail System (OATS) 219
98-34 SEC Requests Comment On Amendments To Rule 17a-5 Requiring Reports On Year 2000 Preparedness 231

April   Page
98-35 SEC Approves Changes To Continuing Education Rules 245
98-36 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 25, 1998 249
98-37 Memorial Day: Trade Date-Settlement Date Schedule 253

May   Page
98-38 NASD Reminds Members Of Supervisory And Inspection Obligations 273
98-39 NASD Reminds Sanction Guidelines 277
98-40 Nasdaq To Incorporate Trade Acceptance And Reconciliation Service Into Automated Confirmation Transaction Service 281
98-41 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1998 285

June   Page
98-42 NASD Regulation Requests Comment On Proposed Rules Regarding Cease-And-Desist Proceedings; Comment Period Expires July 31, 1998 309
98-43 Federal Reserve System Amends Regulations T, U, And X 315
98-44 SOES Tier-Size Levels Set To Change July 1, 1998 319
98-45 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1998 327
98-46 Independence Day: Trade Date-Settlement Date Schedule 329

July   Page
98-47 SEC Approves Changes To Books And Records Requirements 353
98-48 SEC Approves Amendments To Free-Riding And Withholding Interpretation; Effective August 17, 1998 357
98-49 SEC Approves Amendments To Rule Regarding Options Position Limits; Effective June 12, 1998 377
98-50 Treasury Updates List Of Specially Designated Persons And Entities 387
98-51 Exemptive Relief Under MSRB Rule G-37(i) 389
98-52 SEC Approves Taping Rule; Effective August 17, 1998 393
98-53 Members Reminded To Report Executive Representative And Address Changes 403
98-54 SEC Approves Rule Change Regarding Approval Of Research Reports 405
98-55 Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS) 407
98-56 SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes; Effective January 1, 1999 419
98-57 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998 423
98-58 NASD Manual Now On-Line 425
98-59 SEC Approves Amendments To NASD Rule 1120 (Continuing Education Requirements) 427
98-60 NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule 431
98-61 NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees 451
98-62 District Committee And District Nominating Committee Election Procedures And National Adjudicatory Council Nomination Procedures 453
98-63 NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers To File Year 2000 Reports And Releases Year 2000 Survey Results 465

August   Page
98-64 Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board; Last Voting Date: September 9, 1998 485
98-65 NASD Reminds Members Of Obligations Relating To The Short-Sale Rule 495
98-66 NASD Clarifies Acceptable Customer Access To SelectNet And SOES 497
98-67 SEC Approves Amendment To Rule On Fidelity Bonding Requirements; Effective September 15, 1998 503
98-68 Update On The Securities Industry Continuing Education Program 505
98-69 Labor Day: Trade Date-Settlement Date Schedule 525
98-70 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998 527
98-71 NASD Regulation Requests Comment On Whether To Modify The Public Disclosure Program To Limit The Period For Disclosure Of Certain Criminal Information; Comment Period Expires September 30, 1998 553

September   Page
98-72 Regional Nominating Committee Nominees For The National Adjudicatory Council 561
98-73 Firms Required To Register For Order Audit Trail System; Amendments To OATS Rules 567
98-74 SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards 575
98-75 SEC Approves Rule Change Relating To Non-Cash Compensation For Mutual Funds And Variable Products 577
98-76 Maximum SOES Order Sizes Set To Change October 1, 1998 587
98-77 Executive Representatives Must Maintain Internet Electronic Mail Account By January 1, 1999; Complimentary Hard Copy Distribution Of Key Publications To End January 1, 1999 595
98-78 NASD Clarifies Operation Of The Limit Order Protection Rule During Unusual Market Conditions 597
98-79 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 23, 1998 599
98-80 Nominees For NASD Board Of Governors 621

October   Page
98-81 NASD Regulation Requests Comment On Whether Some Rules Should Be Repealed As Obsolete Or Amended To Provide Institutional Customer Exception; Comment Period Expires November 30, 1998 631
98-82 SEC Approves Amendments To Automated Confirmation Transaction Service And Transaction Reporting Rules 635
98-83 SEC Approves Rule Change Relating To Standards For Individual Correspondence; Effective November 16, 1998 637
98-84 Broker/Dealer And Agent Renewals For 1999 645
98-85 SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked And Crossed Markets, And Members' Obligation To Provide Nasdaq With Certain Information 649
98-86 Columbus Day, Veterans Day, And Thanksgiving Day: Trade Date-Settlement Date Schedule 655
98-87 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 24, 1998 657
98-88 Underwriting Compensation In Public Offerings 661
98-89 NASD Announces Changes In CRD Filing Fees 683

November   Page
98-90 New Arbitrator List Selection Rules And Monetary Thresholds For Simplified And Single Arbitration Cases Take Effect 687
98-91 NASD Alerts Members To Their Obligations Concerning Cold Calling And Advertising To Persons In The United Kingdom 695
98-92 NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3) 697
98-93 NASD Informs Members Of District Committee Members And District Nominating Committee Members 699
98-94 Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule 711
98-95 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1998 713

December   Page
98-96 NASD Elaborates On Member Firms' Supervision Responsibilities For Trade Reporting And Market-Making Activities 731
98-97 Notice Of Increase In Advertising Review Fees 737
98-98 SEC Approves Rule Change Relating To Mutual Fund Breakpoint Sales 739
98-99 SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers 741
98-100 FOCUS Filing Due Dates For 1999 751
98-101 NASD Requests Comment On Proposed Amendments To Disclosure Questions On Forms U-4 And U-5; Comment Period Expires January 15, 1999 753
98-102 Calculating Margin For Day-Trading And Cross-Guaranteed Accounts 759
98-103 Maximum SOES Order Sizes Set To Change January 1, 1999 765
98-104 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 23, 1998 773
98-105 NASD 1999 Holiday Schedule 775
98-106 Trade Date-Settlement Date Schedule For 1999 777
98-107 NASD Reminds Members Of Their Obligations To Disclose Mutual Fund Fees 783
98-108 NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1, 1999 805

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