View Whole SectionText only Print Print Manager Link
Previous Next

85-66 Quarterly Checklist of Notices to Members

TO: All NASD Members and Other Interested Persons

The following is a list of NASD Notices to Members issued during the second and third quarters of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.

Notice Number

Date

Topic

85-22

April 8, 1985

NASDAQ National Market System Grows to 1,861 Securities With 100 Voluntary Additions on April 16, 1985

85-23

April 10, 1985

Quarterly Checklist of Notices to Members

85-24

April 12, 1985

NASDAQ Equity Audit Trail

85-25

April 11, 1985

Temporary Receiver Appointed Bevill, Bresler & Schulman, Incorporated Bevill, Bresler & Schulman Securities, Inc. Austin Investment Planning, Inc. 301 South Livingston Avenue Livingston, New Jersey

85-26

April 15, 1985

Adoption of an Amendment to the Interpretation of the Board of Governors on "Forwarding of Proxy and Other Materials"

85-27

April 15, 1985

Approval of Recodified By-Laws and New Code of Procedure

85-28

April 18, 1985

Temporary Receiver Appointed
Collins Securities Corporation
400 Tower Building
Fourth & Center Streets
Little Rock, Arkansas

85-29

April 19, 1985

Compensation Received in Connection With Direct Participation Programs

85-30

April 22, 1985

Securities and Exchange Commission Release Announcing Shareholder Communication Proposals

85-31

April 29, 1985

NASDAQ National Market System Grows to 1,940 Securities With 82 Voluntary Additions on May 7, 1985, and Six Mandatory Inclusions on May 14, 1985

85-32

April 30, 1985

Payment for Order Flow

85-33

May 7, 1985

SIPC Trustee Appointed
Coastal Securities Corporation
1888 Century Park E., Suite 1606
Los Angeles, California 90067

85-34

May 8, 1985

Memorial Day: Trade Date-Settlement Date Schedule

85-35

May 10, 1985

SIPC Trustee Appointed
Bevill, Bresler & Schulman
Incorporated
301 South Livingston Avenue
Livingston, New Jersey 07039

85-36

May 10, 1985

NASDAQ National Market System Grows to 1,976 Securities With 42 Voluntary Additions on May 21, 1985

85-37

May 15, 1985

Temporary Receiver Appointed
Parr Securities Corp.
68 William Street
New York, New York 10005

85-38

May 20, 1985

SIPC Trustee Appointed
Parr Securities Corp.
68 William Street
New York, New York 10005

85-39

May 28, 1985

NASDAQ National Market System Grows to 1,998 Securities With 23 Voluntary Additions on June 4, 1985

85-40

June 3, 1985

Implementation of Revised Forms U-4 and U-5

85-41

June 10, 1985

Request for Comments on Amendment Concerning Associated Persons' Accounts With Investment Advisers, Banks, and Other Financial Institutions

85-42

June 10, 1985

Independence Day Trade Date-Settlement Date Schedule

85-43

June 12, 1985

Proposed New Rule of Fair Practice Relating to Permission for Members to Alter Their Methods of Operation Under SEC Rule 15c3-2j (the "Customer Protection Rule")

85-44

June 11, 1985

NASDAQ National Market System Grows to 2,012 Securities With 22 Voluntary Additions on June 18, 1985

85-45

June 24, 1985

NASDAQ National Market System Grows to 2,045 Securities With 40 Voluntary Additions on July 2, 1985

85-46

June 27, 1985

Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands — Update

85-47

July 8, 1985

NASDAQ National Market System Grows to 2,057 Securities With 21 Voluntary Additions on July 16, 1985

85-48

July 17, 1985

Qualification and Registration Requirements of Schedule C

85-49

July 19, 1985

Request for Comment on Shareholder Voting Rights for NASDAQ National Market System Companies

85-50

July 29, 1985

NASDAQ National Market System Grows to 2,077 Securities With 32 Voluntary Additions on August 6, 1985

85-51

August 2, 1985

Temporary Receiver Appointed
Donald E. Sheldon & Co., Inc.
One Wall Street
New York, New York 10005

85-52

August 5, 1985

SEC Request for Comment on Issues Relating to the Designation of NASDAQ/NMS Securities

85-53

August 12, 1985

NASDAQ National Market System Grows to 2,091 Securities With 22 Voluntary Additions on August 20, 1985

85-54

August 13, 1985

Proposed New Rule of Fair Practice Relating to Private Securities Transactions

85-55

August 16, 1985

Labor Day: Trade Date-Settle-ment Date Schedule

85-56

August 19, 1985

SIPC Trustee Appointed
Donald E. Sheldon & Co.,Inc.
One Wall Street
New York, New York 10005

85-57

August 28, 1985

NASDAQ National Market System Grows to 2,111 Securities With 24 Voluntary Additions on September 3, 1985

85-58

August 30, 1985

Request for Comments on a Proposed New Rule Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members

85-59

September 4, 1985

Effectiveness of Amendment to the Uniform Practice Code to Require Prompt Settlement of Syndicate Accounts

85-60

September 9, 1985

SIPC Trustee Appointed
Collins Securities Corporation
400 Tower Building
Fourth & Center Streets
Little Rock, Arkansas 72201

85-61

September 9, 1985

Cross-Lien Agreements With Clearing Entities

85-62

September 9, 1985

NASDAQ National Market System Grows to 2,118 Securities With 21 Voluntary Additions on September 17, 1985

85-63

September23, 1985

Trade Date - Settlement Date Schedule for October and Early November

85-64

September 24, 1985

NASDAQ National Market System Grows to 2,143 Securities With 31 Voluntary Additions on October 1, 1985


Previous Next