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84-12 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 second quarter of 1983. 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

83-52

October 6, 1983

Group Surety Bond Buying Program

83-53

October 18, 1983

Quarterly Checklist of Notices to Members

83-54

October 18, 1983

16 Securities Mandated to Join NMS on November 8, 1983

83-55

October 20, 1983

Amendments to Association By-Laws

83-56

October 25, 1983

Fidelity Bonds - Definition of "Employee"; Expiration of Grace Period

83-57

October 26, 1983

Trade Date - Settlement Date Schedule for Election Day and Veterans Day

83-58

October 27, 1983

SEC Rule Change Relating to Foreign Securities in NASDAQ

83-59

October 27, 1983

Pilot Ends - Expansion of ITS/CAES Linkage - Open to All Rule 19c-3 Securities - AT&T Divestiture

83-60

November 4, 1983

National Market System to Expand to 635 Issues November 22

83-61

November 4, 1983

Holiday Schedule for Remainder of 1983

83-62

November 18, 1983

American Telephone and Telegraph Company (AT&T) Divestiture (sent only to firms that conduct a general securities or municipal securities business for which the NASD is the designated examining authority pursuant to SEC Rule 17d-1)

83-63

November 22, 1983

1984 Schedule of Holidays

83-64

November 22, 1983

Implementation of the Revised Direct Participation Programs Principal Examination (Series 39)

83-65

November 22, 1983

Due Diligence and Certification Requirements with Respect to Taxpayer Identification Numbers and Backup Withholding

83-66

November 30, 1983

51 Securities to Voluntarily Join NMS on Tuesday, December 20

83-67

December 8, 1983

Proposed Amendments to the Corporate Financing Rule; Proposed Amendments to Section 26 of the Rules of Fair Practice

83-68

December 12, 1983

Amendments to the Free-Riding and Withholding Interpretation

83-69

December 16, 1983

Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit Investment Trust Securities

83-70

December 16, 1983

Automatic Money Market Fund Redemptions

83-71

December 20, 1983

SIPC Trustee Appointed for Hanover Square Securities Group Inc., New York, N. Y.

83-72

December 20, 1983

Request for Comments on Proposed Amendment to Schedule C to the By-Laws

83-73

December 28, 1983

SEC Adopts Rule 15c-2 Governing Binding Arbitration Clauses in Customer Agreements

83-74

December 30, 1983

Mail Vote - Proposed Amendments to Article III, Section 19 of the Rules of Fair Practice, "Customers' Securities or Funds"

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