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1983


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Contents:
83-74 Proposed Amendments to Article III, Section 19 of the Rules of Fair Practice, "Customers' Securities or Funds"
83-73 SEC Adopts Rule 15c2-2 Governing Binding Arbitration Clauses in Customer Agreements
83-72 Request for Comments on Proposed Amendment to Schedule C to the By-Laws
83-71 Hanover Square Securities Group Inc. 5 Hanover Square New York, New York 10004
83-70 Automatic Money Market Fund Redemptions
83-69 Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit investment Trust Securities
83-68 NOT AVAILABLE AT THIS TIME
83-67 Proposed Amendments to the Corporate Financing Rule Proposed Amendments to Section 26 of the Rules of Fair Practice
83-66 51 Securities To Voluntarily Join NMS on Tuesday, December 20
83-65 Due Diligence and Certification Requirements With Respect To Taxpayer Identification Numbers and Backup Withholding
83-64 Implementation of the Revised Direct Participation Programs Principal Examination (Series 39)
83-63 1984 Schedule of Holidays
83-62 American Telephone and Telegraph Company (AT & T) Divestiture
83-61 Holiday Schedule for Remainder of 1983
83-60 National Market System to Expand to 635 Issues November 22
83-59 Pilot Ends — Expansion of ITS/CAES Linkage — Open to All Rule 19c-3 Securities — ATT Divestiture
83-58 SEC Rule Change Relating to Foreign Securities in NASDAQ
83-57 Trade Date—Settlement Date Schedule for Election Day and Veterans Day
83-56 Fidelity Bonds — Definition of "Employee"; Expiration of Grace Period
83-55 Amendments to Association By-Laws
83-54 16 Securities Mandated to Join NMS on November 8, 1983
83-53 Quarterly Checklist of Notices to Members
83-52 Group Surety Bond Buying Program
83-51 Columbus Day: Trade Date—Settlement Date Schedule
83-50 50 Securities Scheduled to Join NMS on October 18
83-49 Request for Comments on Proposed Amendment to Appendix F Concerning Associate General Partners of Direct Participation Programs
83-48 Proposed New Rule of Fair Practice Relating To Permission For Members to Carry Customer Accounts
83-47 Proposed New Rule of Fair Practice to Regulate the Activities of Members Experiencing Financial and/or Operational Difficulties
83-46 Labor Day: Trade Date—Settlement Date Schedule
83-45 Adoption of Amendments to Schedule E on Self-Underwriting
83-44 Change of Policy on Overallotment Options
83-43 Rescission of Venture Capital Policy and Adoption of New Requirement
83-42 100 Securities Scheduled to Join NMS in August and September
83-41 SEC Staff Issues No-Action Letter Providing Temporary Relief from Certain Provisions of Rules 15c3-1 and 15c3-3 Dealing with Municipal Securities
83-40 Quarterly Checklist of Notices to Members
83-39 Final Reporting Regulations Under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA")
83-38 SEC Adopts Amendments to Rule 10b-10; Confirmation Rule
83-37 44 Securities Scheduled to Join NMS on August 9, 1983
83-36 Subscriptions to Monthly Statistical Reports of NASDAQ Issues
83-35 Adoption of Section 9 of Article III, Schedule A of the Association's By-Laws; Fee on Cleared Transactions
83-34 Western Pacific Securities, Inc. 1880 Century Park East Los Angeles, California
83-33 Compliance With State Registration Requirements
83-32 50 Securities Scheduled to Join NMS on July 19
83-31 Adoption of Revised and Simplified Regulation T of the Federal Reserve Board
83-30 Independence Day Trade Date—Settlement Date Schedule
83-29 Gibralco, Inc. 1321 Seventh Street Santa Monica, California
83-28 Additional Securities Voluntarily Added Into National Market System
83-27 MBD Investors, Inc. RD#1 Box 60 AA Enon Valley, Pennsylvania 16120
83-26 Adoption of Amendments to Interpretation on Free-Riding and Withholding
83-25 Request for Comments on Amendment to Corporate Financing Filing Requirements
83-24 Request for Vote on Proposed Corporate Financing Rule
83-23 Memorial Day Trade Date — Settlement Date Schedule
83-22 Real-Time Transaction Reporting in Additional 57 NASDAQ NMS Securities Effective May 24, 1983
83-21 Gerald Greenspan
83-20 Quarterly Checklist of Notices to Members
83-19 Approval of Revisions to Qualification Requirements of Foreign Issues on NASDAQ
83-18 43 Additional Securities Are Mandated Into National Market System
83-17 Amendments to Rules Governing Transactions Executed for Persons Associated with Another Member
83-16 NOT AVAILABLE AT THIS TIME
83-15 Underwriting Compensation Received by Members in Public Corporate Offerings
83-14 Holiday Settlement Schedule
83-13 Request For Comments on Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs
83-12 Clarification of NASD Filing Requirements for Offerings Made Pursuant to SEC Rule 415
83-11 Formation of Federal Task Group on Regulation of Financial Services
83-10 The Tax Equity and Fiscal Responsibility Act of 1982
83-9 Bell & Beckwith 234 Erie Street Toledo, Ohio
83-8 Amendments to Association By-Laws
83-7 Solicitation of Comments on SEC Proposed Anti-Internalization Rule
83-6 Proposed Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit Investment Trust Securities
83-5 Holiday Settlement Schedule — February, 1983
83-4 Real-Time Transaction Reporting in Additional 100 NASDAQ NMS Securities Effective February 8, 1983
83-3 Securities and Exchange Commission Approves Amendments to Rule 17f-2; Fingerprinting of Securities Industry Personnel
83-2 Effect of Tax Law Changes on NASD Qualification Examinations
83-1 Real-Time Transaction Reporting in NASDAQ NMS Securities