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83-53 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 third 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

83-31

July 7, 1983

Adoption of Revised and Simplified Regulation T of the Federal Reserve Board

83-32

July 12, 1983

50 Securities Scheduled to Join NMS on July 19

83-33

July 12, 1983

Compliance With State Registration Requirements

83-34

July 12, 1983

Western Pacific Securities, Inc. (SIPC Trustee Appointed)

83-35

July 12, 1983

Adoption of Section 9 of Article III, Schedule A of the Association's By-Laws; Fee on Cleared Transactions

83-36

July 20, 1983

Subscriptions to Monthly Statistical Reports of NASDAQ Issues

83-37

July 18, 1983

44 Securities Scheduled to Join NMS on August 9

83-38

July 21, 1983

SEC Adopts Amendments to Rule 10b-10; Confirmation Rule

83-39

July 21, 1983

Final Reporting Regulations Under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA")

83-40

July 25, 1983

Quarterly Checklist of Notices to Members

83-41

July 25, 1983

SEC Staff Issues No-Action Letter Providing Temporary Relief From Certain Provisions of Rules 15c3-l and 15c3-3 Dealing With Municipal Securities

83-42

August 5, 1983

100 Securities Scheduled to Join NMS in August and September

83-43

August 17, 1983

Rescission of Venture Capital Policy and Adoption of New Requirement

83-44

August 17, 1983

Change of Policy on Overallotment Options

83-45

August 17, 1983

Adoption of Amendments to Schedule E on Self-Underwriting

83-46

August 17, 1983

Labor Day: Trade Date-Settlement Date Schedule

83-47

August 18, 1983

Proposed New Rule of Fair Practice to Regulate the Activities of Members Experiencing Financial and/or Operational Difficulties

83-48

August 22, 1983

Proposed New Rule of Fair Practice Relating to Permission For Members to Carry Customer Accounts

83-49

September 7, 1983

Request for Comments on Proposed Amendment to Appendix F Concerning Associate General Partners of Direct Participation Programs

83-50

September 29, 1983

50 Securities Scheduled to Join NMS on October 18

83-51

September 30, 1983

Columbus Day: Trade Date-Settlement Date Schedule

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