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88-7 Year-End Check List of NASD Notices to Members

TO: All NASD Members and Other Interested Persons

The following are NASD Notices to Members issued during 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.

Notice Number

Date

Topic

87-1

January 6

Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule

87-2

January 7

Adoption of Amendments to Article III, Section 28 of the NASD Rules of Fair Practice Regarding Securities Accounts Of Associated Persons at Non-NASD Members

87-3

January 14

NASDAQ National Market System Grows to 2,729 Securities With 17 Voluntary Additions on January 20, 1987

87-4

January 21

Presidents' Day: Trade Date-Settlement Date Schedule

87-5

January 29

NASDAQ National Market System Grows to 2,754 Securities With 24 Voluntary Additions on February 3, 1987

87-6

January 30

Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure for the Small Order Execution System (SOES)

87-7

February 10

NASDAQ National Market System Grows to 2,775 Securities With 17 Voluntary Additions on February 17, 1987

87-8

February 17

South African Sanctions Act Regulations

87-9

February 19

Proposed Amendments to Article XIV of the NASD By-Laws and Article V, Sections 1 and 2 of the NASD Rules of Fair Practice Concerning Disciplinary Sanctions

87-10

February 25

Proposed Amendment to Section 66 of The NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts

87-11

February 25

NASDAQ National Market System Grows to 2,788 Securities With 17 Voluntary Additions on March 3, 1987

87-12

February 26

Adoption of Amendment to Schedule G Of the NASD By-Laws

87-13

February 27

Proposed Amendments to Article II, Sections 3, 4, and 5 of the NASD By-Laws

87-14

March 2

Request for Comments on Proposed Amendments to Article I, Section (c) of The NASD By-Laws and Schedule C to The NASD By-Laws Relating to the Definition of the Term "Branch Office"

87-15

March 6

Proposed Amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice and the Interpretation of the Board of Governors Concerning Short Sales

87-16

March 10

Request for Comments on Proposed Amendments to Article IV, Sections 3 And 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice

87-17

March 11

NASDAQ National Market System Grows to 2,802 Securities With 20 Voluntary Additions on March 17, 1987

87-18

March 25

Good Friday: Trade Date-Settlement Date Schedule

87-19

March 27

Federal Regulation of Government Securities Brokers and Dealers Under The Government Securities Act of 1986

87-20

April 1

Request for Comments on Proposed Amendment to Article V, Section 1 of The NASD Rules of Fair Practice

87-21

April 2

NASDAQ National Market System Grows to 2,847 Securities With 37 Voluntary Additions on April 7, 1987

87-22

April 13

Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions

87-23

April 14

Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts

87-24

April 14

Request for .Comments on Proposed Amendments to Article III, Section 35 of The NASD Rules of Fair Practice

87-25

April 14

Request for Comments and Suggestions On Regulation of Market Making by Affiliates of Issuers

87-26

April 14

NASDAQ National Market System Grows to 2,850 Securities With 12 Voluntary Additions on April 21, 1987

87-27

April 30

NASDAQ National Market System Grows to 2,873 Securities With 19 Voluntary Additions on May 5, 1987, And Four Mandatory Inclusions on May 12, 1987

87-28

May 4

Memorial Day: Trade Date-Settlement Date Schedule

87-29

May 14

NASDAQ/MSE: Unlisted Trading Privileges

87-30

May 14

NASDAQ National Market System Grows to 2,893 Securities With 21 Voluntary Additions on May 19, 1987

87-31

May 28

Mark-Ups and Mark-Downs on Zero-Coupon Securities

87-32

June 1

Request for Comments on Shareholder Voting Rights Proposal for NASDAQ Companies

87-33

June 1

Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements

87-34

June 2

NASDAQ National Market System Grows to 2,917 Securities With 28 Voluntary Additions on June 2, 1987

87-35

June 9

NASDAQ National Market System Grows to 2,940 Securities With 23 Voluntary Additions on June 16, 1987

87-36

June 12

Split Expiration of Index Options and Futures on June 19, 1987

87-37

June 16

Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office"

87-38

June 17

Independence Day: Trade Date-Settlement Date Schedule

87-39

June 19

Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws

87-40

June 22

Request for Comments on a Proposed Amendment to Article III, Section 35 of The NASD Rules of Fair Practice Concerning Testimonials

87-41

June 29

Proposed Amendments to Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" Under the NASD By-Laws, Schedule C to the By-Laws, and the Rules of Fair Practice

87-42

July 1

NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987

87-43

July 1

Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs

87-44

July 6

Proposed Amendment to Article III, Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares

87-45

July 15

NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987

87-46

July 21

SEC Approval of NASD Corporate Governance Standards for NASDAQ/ NMS Issuers and Amendments to Schedule D to the NASD By-Laws Concerning Designation of NASDAQ National Market System (NASDAQ/ NMS) Securities

87-47

July 22

Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws

87-48

July 29

NASDAQ National Market System Grows to 3,019 Securities With 30 Voluntary Additions on August 4, 1987, And One Mandatory Inclusion on August 4, 1987

87-49

August 10

New $10 NYSE Series 7 Development Fee to Begin in August

87-50

August 10

Amendments to SEC Rules 15c3-l, 17a-3, and 17a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements

87-51

August 12

Treasury Department Adopts Changes To the Requirements Concerning Financial Recordkeeping and Reporting Of Currency and Foreign Transactions

87-52

August 12

Request for Comments on Proposed Amendment to the NASD Board Of Governors' Corporate Financing Interpretation Concerning Public Offerings When Proceeds Are Directed to NASD Members

87-53

August 12

Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules

87-54

August 13

NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987

87-55

August 14

Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987

87-56

August 19

Labor Day: Trade Date-Settlement Date Schedule

87-57

August 27

NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987

87-58

August 31

Amendments to SEC Rule 15c3-3 Regarding Treatment of Hold-in-Custody Repurchase Agreements

87-59

August 31

Quarterly Check List of NASD Notices To Members

87-60

September 10

NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987

87-61

September 10

Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4

87-62

September 22

NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates

87-63

September 23

Columbus Day: Trade Date-Settlement Date Schedule

87-64

October 2

NASDAQ National Market System Grows to 3,063 Securities With 17 Additions on October 6, 1987

87-65

October 9

Statutorily Disqualified Persons Who Obtain a Controlling Interest in an NASD Member Firm and Failure of NASD-Registered Persons Who Become Statutorily Disqualified to Timely Amend Form U-4

87-66

October 14

Quarterly Check List of NASD Notices To Members

87-67

October 14

Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials

87-68

October 15

NASDAQ National Market System Grows to 3,077 Securities With 10 Additions on October 20, 1987

87-69

October 20

Front-Running of Blocks—Interpretation of the Board of Governors on Article III, Section 1 of the Rules of Fair Practice

87-70

October 22

Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedules

87-71

October 23

SIPC Trustee Appointed
Cyril Moscow, Esquire
c/o Honigman, Miller, Schwarz & Cohn
2290 1st National Building
Detroit, Michigan 48226

87-72

October 28

NASDAQ National Market System Grows to 3,087 Securities With 15 Additions on November 3, 1987

87-73

November 4

Request for Comments on Amendment To Board of Governors' Free-Riding Interpretation Concerning Investment Partnerships

87-74

November 12

NASDAQ National Market System Grows to 3,076 Securities With 10 Additions on November 17, 1987

87-75

November 17

Revised Series 4—Registered Options Principal (ROP) Qualification Examination and New Study Outline

87-76

November 17

New Category of Limited Representative Registration for Corporate Securities and Availability of a Study Outline for the Series 62—Corporate Securities Limited Representative Qualification Examination

87-77

November 20

Request for Comments on Proposed Amendments to the Rules of Fair Practice and Procedures for the NASD's Small Order Execution System and to Schedule D to the NASD By-Laws

87-78

November 23

1988 Schedule of Holidays

87-79

November 24

Request for Comments on Proposed New NASD By-Law Authorizing Mandatory Reporting of Trade Comparison Information

87-80

November 30

NASDAQ National Market System Totals 3,068 Securities With 2 Additions On December 1, 1987

87-81

December 9

NASDAQ National Market System Totals 3,066 Securities With 5 Additions On December 15, 1987

87-82

December 9

Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule

87-83

December 10

Member Comment on NASD Proposals

87-84

December 11

Annual State, Agent, and Broker-Dealer Renewals for 1988

87-85

December 24

SEC Approves Revised Rules for Reporting NASDAQ/NMS Trades Executed Between 4 p.m. and 5 p.m. Under Schedule D to the NASD By-Laws

87-86

December 30

NASDAQ National Market System Totals 3,052 Securities With Four Additions on January 5, 1988

87-87

December 30

Request for Comments on Proposed Amendments to Schedule E to the NASD By-Laws Regarding the Definition of a Qualified Independent Underwriter

87-88

December 30

Request for Comments on Proposed Amendments to Section 66 of the NASD Uniform Practice Code Regarding Syndicate Expense Statements and Prompt Settlement of Commissions


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