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1984


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Contents:
84-73 Proposed Amendment to the Uniform Practice Code to Require Prompt Settlement of Syndicate Accounts
84-72 Expansion of NASDAQ National Market System
84-71 SEC Rule 15c2-2 Fully Effective
84-70 25 Stocks Added to the Small Order Execution System (SOES)
84-69 Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands
84-68 Amendments to the Uniform Practice Code to Provide for a Liability Notice Procedure and a Liability Notice Form
84-67 NASDAQ National Market System Grows to 1,185 Securities With 50 Voluntary Additions on December 18, 1984
84-66 Vantage Securities of Colorado, Inc. 7000 E. Belleview Avenue, #307 Englewood, Colorado
84-65 Christmas Day–New Year's Day: Trade Date—Settlement Date Schedule
84-64 Securities and Exchange Commission Interpretation of Application of Rule 15c2-4 to Direct Participation Program Offerings
84-63 Small Order Execution System (SOES)
84-62 Effect of the Tax Reform Act of 1984 and Amendments to Various NASD and SEC Rules on NASD Qualification Examinations
84-61 PLATO Learning Centers to Close Thanksgiving Week, November 19–23, 1984
84-60 1985 Schedule of Holidays
84-59 National Market System Grows to 1,142 Securities With 40 Voluntary Additions on November 20, 1984
84-58 Thanksgiving Day: Trade Date — Settlement Date Schedule
84-57 Federal Reserve Board Acts to Grant Immediate Margin Status To All NASDAQ/NMS Issues
84-56 Three Securities Mandated to Join NASDAQ/NMS on November 13, 1984
84-55 Implementation of NASDAQ Equity Audit Trail
84-54 Quarterly Checklist of Notices to Members
84-53 Request for Comments on Proposed Amendment to Appendix F Concerning Suitability Requirements for Freely Tradeable Partnership Units
84-52 Next NASDAQ/NMS Phase-In Scheduled for October 16
84-51 Amendments to Code of Arbitration Procedure
84-50 Trade Date — Settlement Dates for October and Early November
84-49 32 More Securities to Join NASDAQ/NMS on September 18, 1984
84-48 New SEC Staff Interpretation Concerning the Treatment of Concessions Receivable and Related Concessions Payable Under the Uniform Net Capital Rule
84-47 Adoption of Amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice
84-46 SEC Approval of Revised Rules for Bunching of NASDAQ/NMS Trades
84-45 Request for Comments on a Proposed New Section to the Uniform Practice Code Concerning Customer Account Transfers
84-44 Amendments to the Uniform Practice Code Sections 5, 9, 12 and 30
84-43 NASDAQ Market Open on Election Day, November 6, 1984
84-42 Labor Day: Trade Date — Settlement Date Schedule
84-41 40 More Securities to Join NMS on August 14
84-40 Compensation Arrangements with respect to Sale of Mutual Fund Shares
84-39 Quarterly Checklist of Notices to Members
84-38 Five Securities Mandated to Join NMS August 7, 1984
84-37 Interpretation of Venture Capital Restrictions
84-36 Request for Comments on Possible Amendments to Venture Capital Restrictions
84-35 NMS Securities to Surpass 1,000 Mark on July 10, 1984
84-34 Implementation of the NASAA/CRD Temporary Agent Transfer Program (TAT) Via the Central Registration Depository — Need to File Broker-Dealer Undertaking
84-33 Independence Day Trade Date — Settlement Date Schedule
84-32 June S. Jones Co. 225 S. W. Broadway Portland, Oregon
84-31 First Interwest Securities Corp. 7800 E. Union Avenue, Suite 900 Denver, Colorado 80237
84-30 Monthly Statistical Report Subscription Service
84-29 48 Securities Mandated to Join NMS on June 19, 1984
84-28 Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
84-27 SEC Request For Comments on NASDAQ Options Proposal (Comment Period Ends on June 15, 1984)
84-26 Request for Comment on Proposed Criteria for NASDAQ NMS Designation
84-25 Quarterly Checklist of Notices to Members
84-24 Memorial Day Trade Date — Settlement Date Schedule
84-23 National Market System Grows to 935 Securities With 50 Additions on May 15
84-22 10 Securities Mandated to Join NMS on May 8, 1984
84-21 Adoption of a New Rule of Fair Practice and Other Amendments Regulating Activities of Members Experiencing Financial or Operational Difficulties
84-20 National Market System Grows to 881 Securities With 50 Additions on April 17
84-19 MV Securities, Inc. 11 Broadway, 17th Floor New York, New York
84-18 Holiday Settlement Schedule
84-17 Amendment to Association's Rules of Fair Practice
84-16 NOT AVAILABLE AT THIS TIME
84-15 National Market System Grows to 834 Securities With 50 Additions on March 20
84-14 Southeast Securities of Florida, Inc. Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
84-13 PLATO Learning Center Shutdown March 3–11; Extensions of Qualification Examination Expiration Dates
84-12 Quarterly Checklist of Notices to Members
84-11 Gattini & Co. 74 Trinity Place New York, New York
84-10 Holiday Settlement Schedule — February, 1984
84-9 California Municipal Investors, Inc. 6380 Wilshire Boulevard, Ste. 1600 Los Angeles, California 90048
84-8 Southeast Securities of Florida Five Marineview Plaza, Suite 106 Hoboken, New Jersey 07030
84-7 SEC Staff Interpretations of Rule 15c2-4
84-6 Temporary Regulations Under the Interest and Dividend Tax Compliance Act of 1983; Backup Withholding
84-5 Jay W. Kaufmann & Co. Ill Broadway New York, New York
84-4 National Market System Grows to 789 Securities With 50 Additions on February 14
84-3 Temporary Relief from Certain Provisions of Rules 15e3-4 and 15c3-3 Dealing with Registered Municipal Securities is Extended until March 31, 1984, by SEC Staff
84-2 12 Securities Mandated Into NMS on February 7, 1984
84-1 National Market System to Expand to 728 Issues January 17; and Year-End NASDAQ Market Highlights