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83-40 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

83-15

April 8, 1983

Underwriting Compensation Received by Members in Public Corporate Offerings

83-16

April 8, 1983

Applicability of SEC Rule 10b-6 to Controlled Accounts

83-17

April 14, 1983

Amendments to Rules Governing Transactions Executed for Persons Associated with Another Member

83-18

April 22, 1983

43 Additional Securities Are Mandated Into National Market System

83-19

April 27, 1983

Approval of Revisions to Qualification Requirements of Foreign Issues on NASDAQ

83-20

May 2, 1983

Quarterly Checklist of Notices to Members

83-21

May 5, 1983

Gerald Greenspan - Notification of Past Illegal Activities

83-22

May 11, 1983

Real-Time Transaction Reporting in Additional 57 NASDAQ NMS Securities Effective May 24, 1983

83-23

May 11, 1983

Memorial Day Trade Date-Settlement Date Schedule

83-24

May 19, 1983

Request for Vote on Proposed Corporate Financing Rule

83-25

May 27, 1983

Request for Comments on Amendment to Corporate Financing Filing Requirements

83-26

June 1, 1983

Adoption of Amendments to Interpretation on Free-Riding and Withholding

83-27

June 6, 1983

Appointment of SIPC Trustee for Gibralco, Inc.

83-30

June 27, 1983

Independence Day Trade Date-Settlement Date Schedule

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