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1988


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Contents:
88-104 Adoption of Rule Amendments Mandating the Automated Submission of Trading Data - Effective February 12, 1989
88-103 Adoption of Rule Amendments - Effective Immediately Professional Trading in SOES
88-102 NASDAQ National Market System Additions as of November 21, 1988
88-101 Clarification of NASD Filing Requirements and Review Procedures for Offerings Made Pursuant to SEC Rule 415
88-100 Mergers by Members With Blind-Pool Companies
88-99 Trade Date-Settlement Date Schedule: Christmas Day, New Year's Day, and Martin Luther King, Jr. Day
88-98 Proposed Amendment to Schedule E Re: Exemption From the Pricing Requirements For Shelf Offerings to Institutional Investors
88-97 Implementation of the Form U-4 Disclosure Reporting Page (DRP) Effective Immediately
88-96 SEC Approval of Amendments to NASD By-Laws and Rules of Fair Practice And New Government Securities Rules
88-95 SEC Approval of Amendment to NASD Rules of Fair Practice Re: Prompt Payment for Investment Company Shares — Effective Date: January 1, 1988
88-94 NASDAQ National Market System Additions as of October 18, 1988
88-93 SEC Approval of Amendment to Free-Riding Interpretation Concerning Sales to Investment Partnerships and Corporations
88-92 Proposed Corporate Financing Rule; Last Date for Comment: December 31, 1988
88-91 Proposed Amendment to Article III, Section 21 (c) of the Rules of Fair Practice Re: Customer Account Information; Last Date for Comments: December 1, 1988
88-90 Proposed Rule Amendment, By-Laws Amendments Under Schedule C Re: Training, Qualification, and Registration of Representatives and Principals; Last Date for Comments: December 1, 1988
88-89 Amendment to Schedule E of the NASD By-Laws Re: Definition of Qualified Independent Underwriter - Effective December 1, 1988
88-88 Amendment to Section 34, of the NASD Rules of Fair Practice Re: Prohibition on Non-Cash Sales Incentives in Public Offerings Effective January 1, 1989
88-87 Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements; Last Date for Comment: December 1, 1988
88-86 Approval and Immediate Effectiveness of Article III, Section 43 of the NASD Rules of Fair Practice Regarding Outside Business Activities
88-85 Securities and Exchange Commission Decision Re: Handling Customers' Limit Orders
88-84 SEC Approval of Amendments to NASD Rules of Fair Practice and Conforming Amendments to the By-Laws Re: Supervisory Practices and Definitions of Branch Office and Office of Supervisory Jurisdiction
88-83 Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Re: Marking Customer Order Tickets - Effective Immediately
88-82 Veteran's Day and Thanksgiving Day Trade Date-Settlement Date Schedules
88-81a Broker-Dealer and Agent Renewals for 1988-89; Status of CRD Phase II Implementation
88-81 NASD Raises Corporate Filing Fee
88-80 Third-Quarter Check List of NASD Notices to Members
88-79 NASDAQ National Market System Additions, Changes, and Deletions as of September 16, 1988
88-78 Telephone Number Change for NASD's Rockville, Maryland Office Effective October 14, 1988
88-77 SIPC Trustee Appointed: Fairweather (George R.) Securities, Inc. 75 Montgomery Street, Jersey City, New Jersey
88-76 Test Center Location for Houston Series 7 Exam in October
88-75 Amendment Eliminating the Fine Limitation in Disciplinary Proceedings
88-74 Amendment to Code of Procedure Re: Composition of Panels for DBCC and Market Surveillance Hearings
88-73 Amendment to NASD UPC That Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicates
88-72 Proposed Amendment to Definition of "Bona Fide Research" - Last Voting Date: November 3, 1988
88-71 NASDAQ National Market System Additions as of August 19, 1988
88-70 Columbus Day Trade Date-Settlement Date Schedule
88-69 Documentation for Excused Withdrawal Under Schedule D of By-Laws
88-68 Proposed Amendment Re Providing Terminated Employee with Form U-5 and Obtaining Prior Form U-5 for Potential Employees; Comment by October 1, 1988
88-67 Obligation to Provide Accurate Information on Forms U-4 and U-5 and to Research Potential Employee's Background
88-66 Test Center Change for Houston Series 7 Exam in September
88-65 Proposed Amendment: Use and Disclosure of Member Names; Last Date for Comment: October 3, 1988
88-64 Proposed Amendment Regarding Filing of Advertising and Sales Literature for Investment Company Securities; Deadline for Voting: October 3, 1988
88-63 New Requirements - Effective Immediately - Re Issuing Companies' Notification of NASD Regarding Material News
88-62 SEC Adopts Rule 10b-21 Prohibiting Shorting into Secondaries
88-61 Interpretations - Effective Immediately - of SOES Rules Regarding Compliance With Maximum Order Size Restrictions.
88-60 Quarterly Check List of NASD Notices to Members
88-59 Labor Day Trade Date-Settlement Date Schedule
88-58 September First-Saturday Exam Session Changed
88-57 NASDAQ National Market System Additions as of July 22, 1988
88-56 Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD
88-55 Correction to Notice to Members 88-55
88-55 Amendments Adopted - Sharing in Customer Accounts
88-54 Implementation of Reporting Requirements for Non-NASDAQ OTC Securities; Effective September 1, 1988
88-53 SiPC Trustee Appointed: Fitzgerald, DeArman & Roberts, Inc., 6400 South Lewis, Tulsa, Oklahoma 74170
88-52 Amendment to Rule: Testimonial Advertisements.
88-51 Registration of Foreign Branch Offices by August 1, 1988
88-50 Registration of Persons Soliciting on Behalf of Members Under Schedule C of the NASD By-Laws.
88-49 By-Law Amendment: Prohibition of Concurrent Registration Under Schedule C; Last Date for Comment: August 1, 1988
88-48 Proposed By-Laws Amendment Concerning Filling Vacancies on District Committees - Last Date for Comment: August 1, 1988
88-47 Proposed Amendment: Short Sales-Last Date for Comment: August 1, 1988
88-46 Adoption of Rule Amendment to Authorize Trading Halts in NASDAQ Securities.
88-45 Proposed New Rule: Outside Business Activities-Last Voting Date: August 1, 1988
88-44 Proposed Rule Amendments: Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" Conforming Amendment To By-Laws-Last Voting Date: August 1, 1988
88-43 Adoption of Amendments to the Rules of Practice and Procedures for the NASD Small Order Execution System and to Schedule D to the NASD By-Laws, Effective June 30, 1988
88-42 NASDAQ National Market System Advances to 2,954 Securities With 14 Additions on June 21, 1988
88-41 Independence Day Trade Date-Settlement Date Schedule
88-40 Adoption of New Schedule H to the NASD By-Laws and Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice.
88-39 NASDAQ National Market System Totals 2,950 Securities With 10 Additions on June 7, 1988
88-38 SEC Approves New Category of Limited Representative Registration — Corporate Securities Examination (Series 62); Study Outline Available
88-37 Operations Officer, Cashier, Fail-Control Department
88-36 Memorial Day Trade Date-Settlement Date Schedule
88-35 NASDAQ National Market System Totals 2,945 Securities With Seven Additions on May 17, 1988
88-34 Adoption of New Section 67 of the NASD Uniform Practice Code Regarding Delayed Closings Effective June 12, 1988
88-33 Adoption of Amendments to Schedule E to the NASD By-Laws Effective Immediately
88-32 Amendment to the NASD Board of Governors' Corporate Financing Interpretation Regarding Public Offerings When Proceeds Are Directed to NASD Members
88-31 Proposed Amendments to Article V, Section 1 of the NASD Rules of Fair Practice and Section 12(2) of the Proposed Government Securities Rules: Removal of Fine Limitations
88-30 NASDAQ National Market System Totals 2,976 Securities With Two Additions on May 3, 1988
88-29 Proposed New Section 3 to Article VII and Amendment to Article XI, Section 4 of the NASD By-Laws Concerning Emergency Authority of the NASD Board of Governors
88-28 Quarterly Check List of NASD Notices to Members
88-27 NASDAQ National Market System Totals 2,994 Securities With 11 Additions on April 19, 1988
88-26 Request for Comments on Proposed Amendments to Appendix A to Article III, Section 30 of the NASD Rules of Fair Practice
88-25 NASDAQ National Market System Totals 2,994 Securities With 13 Additions on April 5, 1988
88-24
88-23 Windsor Equity Corporation 330 S. Executive Drive Brookfield, Wisconsin 53005
88-22 NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988
88-21 Good Friday; Trade Date-Settlement Date Schedule
88-20 Request for Comments on Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Investment Company Securities
88-19 Proposed Amendment to Article VII of the NASD By-Laws Authorizing Mandatory Reporting of Trade Information
88-18 Extension of Comment Period: Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
88-17 Request for Comments on Proposed Amendments to NASD Rules of Fair Practice to Prohibit Non-Cash Compensation in Connection with Sales of Investment Company and Variable Contract Products
88-16 NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988
88-15 Amendment to Schedule A to the NASD By-Laws Concerning an Increased Application Fee for Member Firms With Statutorily Disqualified Individuals
88-14 Additional Arbitration Filing Fee and Advertising Service Charge
88-13 NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988
88-12 Presidents' Day: Trade Date-Settlement Date Schedule
88-11 Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office"
88-10 Relocation of NASD New York Offices
88-9 NASDAQ National Market System Totals 3,040 Securities With Six Additions on February 2, 1988
88-8 Request for Comments on Proposed New Section 3 to Article VII and an Amendment to Article XI, Section 4 of the NASD By-Laws
88-7 Year-End Check List of NASD Notices to Members
88-6 SEC Approves NASD New Order Confirmation Transaction (OCT) Service
88-5 Request for Comments on Proposed NASD Rule of Fair Practice Regarding Outside Business Activities
88-4 NASDAQ National Market System Totals 3,040 Securities With Four Additions on January 19, 1988
88-3 Amendment to Section 64 of the NASD Uniform Practice Code Regarding Acceptance and Settlement of COD Orders, Effective February 11, 1988
88-2 Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule
88-1 Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules