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88-80 Third-Quarter Check List of NASD Notices to Members

SUGGESTED ROUTING*

Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training

*These are suggested departments only. Others may be appropriate for your firm.

The following NASD Notices to Members were issued during the third quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506

Notice

Date

Topic

88-44

7/01

Mail Vote on Rule Amendments: Supervision and Definitions of "Branch Office" and "Office of Supervisory Jurisdiction"

88-45

7/01

Mail Vote on Proposed Rule Re Outside Business Activity

88-46

7/01

Rule Amendment to Authorize Trading Halts in NASDAQ Securities

88-47

7/01

Request for Comments Re Prompt Receipt and Delivery of Securities

88-48

7/01

Request for Comments on Amendment Re Filling Vacancies on District Committees

88-49

7/01

Request for Comments on Proposed Prohibition of Concurrent Registration

88-50

7/01

Guidelines for Registration of Persons Soliciting on Behalf of Members

88-51

7/01

Registration of Foreign Branch Offices by August 1,1988

88-52

7/01

Rule Amendment ReTestimonial Advertisements

88-53

7/01

SIPC Trustee Appointed for Fitzgerald, DeArman & Roberts, Inc

88-54

7/01

(Supplement 1) Implementation of Reporting Requirements for Non-NASDAQ OTC Securities

88-55

8/01

Amendments Adopted Re Sharing in Customer Accounts and Performance-Based Fees

88-56

8/01

Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD

88-57

8/01

NASDAQ National Market System Additions, Changes, and Deletions as of July 22, 1988

88-58

8/01

September First-Saturday Exam Session Date Changes

88-59

8/01

Schedule for Labor Day Trade Date-Settlement Date

88-60

8/01

Second-Quarter 1988 Notices to Members Check List

88-61

8/25

(Supplement) Interpretation of SOES Rules Re Maximum Order Size Restrictions

88-62

9/01

SEC Adopts Rule 10b-21 Prohibiting Short Selling into Secondaries

88-63

9/01

SEC Approves Rule: Issuing Companies Must Notify NASD Re Material News Before Public Release

88-64

9/01

Mail Vote on Proposed Amendment Re Advertising and Sales Literature for Investment Company Securities

88-65

9/01

Request for Comment: Proposed Amendment Re Use and Disclosure of Member Names

88-66

9/01

Test Center Location Change for September Houston Series 7 Exam

88-67

9/01

Obligation to Provide Accurate Information on Forms U-4 and U-5 and Research Potential Employees' Backgrounds

88-68

9/01

Request for Comment: Providing Terminated Employees with Form U-5 and Obtaining Prior Form U-5 for Potential Employees

88-69

9/01

Procedures to Document Excused Market-Maker Withdrawal Under Schedule D of By-Laws

88-70

9/01

Schedule for Columbus Day Trade Date-Settlement Date

88-71

9/01

NASDAQ National Market System Additions, Changes, and Deletions as of August 19

88-72

10/01

Mail Vote on Proposed Change in Definition of "Bona Fide Research"

88-73

10/01

UPC Amendment Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicate

88-74

10/01

Amendments to Code of Procedure Re Composition of Panels for DBCC and Market Surveillance Hearings

88-75

10/01

Amendment Eliminating the Fine Ceilings in Disciplinary Pro-ceed-ings

88-76

10/01

Houston Test Center Change for October 15 Series 7 Examination

88-77

10/01

SIPC Trustee Appointed for Fair-weather (George R.) Securities, Inc., Jersey City, New Jersey

88-78

10/01

New Telephone Number for NASD's Rockville, Maryland Office Effective October 14,1988

88-79

10/01

NASDAQ National Market System Additions, Changes, and Deletions as of September 16,1988

88-80

10/01

Third-Quarter 1988 Check List of NASD Notices to Members

88-81

10/01

NASD Raises Corporate Filing Fees, Effective October 1, 1988

Correction to Notice to Members 88-55

10/01 Re Sharing in Customer Accounts


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