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85-4 Quarterly Checklist of Notices to Members

TO: All NASD Members and Other Interested Persons

Following is a list of NASD Notices to Members issued during the fourth quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.

Notice Number

Date

Topic

84-52

October 5, 1984

Next NASDAQ/NMS Phase-In Scheduled for October 16

84-53

October 9, 1984

Request for Comments on Proposed Amendment to Appendix F Concerning Suitability Requirements for Freely Tradeable Partnership Units

84-54

October 9, 1984

Quarterly Checklist of Notices to Members

84-55

October 15, 1984

Implementation of NASDAQ Equity Audit Trail

84-56

October 19, 1984

Three Securities Mandated to Join NASDAQ/NMS on November 13, 1984

84-57

October 23, 1984

Federal Reserve Board Acts to Grant Immediate Margin Status To AU NASDAQ/NMS Issues

84-58

October 23, 1984

Thanksgiving Day: Trade Date - Settlement Date Schedule

84-59

November 7, 1984

National Market System Grows to 1,142 Securities With 40 Voluntary Additions on November 20

84-60

November 7, 1984

1985 Schedule of Holidays

84-61

November 14, 1984

PLATO Learning Centers to Close Thanksgiving Week/Change in Calculator Policy During All Testing Sessions

84-62

November 14, 1984

Effect of the Tax Reform Act of 1984 and Amendments to Various NASD and SEC Rules on NASD Qualification Examinations

84-63

November 22, 1984

Small Order Execution System (SOES)

84-64

November 26, 1984

Securities and Exchange Commission Interpretation of Application of Rule 15c2-4 to Direct Participation Program Offerings

84-65

December 7, 1984

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

84-66

December 7, 1984

SIPC Trustee Appointed For Vantage Securities of Colorado, Inc., Englewood, Colorado

84-67

December 10, 1984

NASDAQ National Market System Grows to 1,185 Securities With 50 Voluntary Additions on December 18, 1984

84-68

December 17, 1984

Amendments to the Uniform Practice Code to Provide for a Liability Notice Procedure and a Liability Notice Form

84-69

December 18, 1984

Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands

84-70

December 20, 1984

25 Stocks Added to the Small Order Execution System (SOES)

84-71

December 26, 1984

SEC Rule 15c2-2 Fully Effective

84-72

December 28, 1984

Expansion of NASDAQ National Market System

84-73

December 28, 1984

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

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