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1987


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Contents:
87-88 Request for Comments on Proposed Amendments to Section 66 of the NASD Uniform Practice Code Regarding Syndicate Expense Statements and Prompt Settlement of Commissions
87-87 Request for Comments on Proposed Amendments to Schedule E to the NASD By-Laws Regarding the Definition of a Qualified Independent Underwriter
87-86 NASDAQ National Market System Totals 3,052 Securities With Four Additions on January 5, 1988
87-85 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
87-84 Annual State, Agent, and Broker-Dealer Renewals for 1988
87-83 Member Comment on NASD Proposals
87-82 Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule
87-81 NASDAQ National Market System Totals 3,066 Securities With 5 Additions on December 15, 1987
87-80 NASDAQ National Market System Totals 3,068 Securities With 2 Additions on December 1, 1987
87-79 Request for Comments on Proposed New NASD By-Law Authorizing Mandatory Reporting of Trade Comparison Information
87-78 1988 Schedule of Holidays
87-77 Request for Comments on Proposed Amendments to the Rules of Practice and Procedures for the NASD's Small Order Execution System and to Schedule D to the NASD By-Laws
87-76 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
87-75 Revised Series 4 — Registered Options Principal (ROP) Qualification Examination and New Study Outline
87-74 NASDAQ National Market System Grows to 3,076 Securities With 10 Additions on November 17, 1987
87-73 Request for Comments on Amendment to Board of Governors' Free-Riding Interpretation Concerning Investment Partnerships
87-72 NASDAQ National Market System Grows to 3,087 Securities With 15 Additions on November 3, 1987
87-71 H.B. Shaine & Co., Inc. Ill Pearl Street, N.W. Grand Rapids, Michigan 49503
87-70 Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedules
87-69 Front-Running of Blocks—Interpretation of the Board of Governors on Article III, Section 1 of the Rules of Fair Practice
87-68 NASDAQ National Market System Grows to 3,077 Securities With 10 Additions on October 20, 1987
87-67 Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
87-66 Quarterly Check List of NASD Notices to Members
87-65 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
87-64 NASDAQ National Market System Grows to 3,063 Securities With 17 Additions on October 6, 1987
87-63 Columbus Day: Trade Date-Settlement Date Schedule
87-62 NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates
87-61 Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4
87-60 NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987
87-59 Check List of NASD Notices to Members
87-58 Amendments to SEC Rule 15c3-3 Regarding Treatment of Hold-in-Custody Repurchase Agreements
87-57 NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987
87-56 Labor Day; Trade Date-Settlement Date Schedule
87-55 Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987
87-54 NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987
87-53 Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules
87-52 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
87-51 Treasury Department Adopts Changes to the Requirements Concerning Financial Recordkeeping and Reporting of Currency and Foreign Transactions
87-50 Amendments to SEC Rules 15c3-l, 17a-3, and 17a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements
87-49 New $ 10 NYSE Series 7 Development Fee to Begin in August
87-48 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
87-47 Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws
87-46 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
87-45 NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987
87-44 Proposed Amendment to Article III, Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares
87-43 Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs
87-42 NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987
87-41 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
87-40 Request for Comments on a Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials
87-39 Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws
87-38 Independence Day Trade Date-Settlement Date Schedule
87-37 Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office"
87-36 Split Expiration of Index Options and Futures on June 19, 1987
87-35 NASDAQ National Market System Grows to 2,940 Securities With 23 Voluntary Additions on June 16, 1987
87-34 NASDAQ National Market System Grows to 2,917 Securities With 28 Voluntary Additions on June 2, 1987
87-33 Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements
87-32 Request for Comments on Shareholder Voting Rights Proposal For NASDAQ Companies
87-31 Mark-Ups and Mark-Downs on Zero-Coupon Securities
87-30 NASDAQ National Market System Grows to 2,893 Securities With 21 Voluntary Additions on May 19, 1987
87-29 NASDAQ/MSE: Unlisted Trading Privileges
87-28 Memorial Day Trade Date-Settlement Date Schedule
87-27 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
87-26 NASDAQ National Market System Grows to 2,850 Securities With 12 Voluntary Additions on April 21, 1987
87-25 Request for Comments and Suggestions on Regulation of Market Making By Affiliates of Issuers
87-24 Request for Comments on Proposed Amendments to Article III, Section 35 of the NASD Rules of Fair Practice
87-23 Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
87-22 Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions
87-21 NASDAQ National Market System Grows to 2,847 Securities With 37 Voluntary Additions on April 7, 1987
87-20 Request for Comments on Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice
87-19 Federal Regulation of Government Securities Brokers and Dealers Under the Government Securities Act of 1986
87-18 Holiday Settlement Schedule
87-17 NASDAQ National Market System Grows to 2,802 Securities With 20 Voluntary Additions on March 17, 1987
87-16 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
87-15 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
87-14 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"
87-13 Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws
87-12 Adoption of Amendment to Schedule G of the NASD By-Laws
87-11 NASDAQ National Market System Grows to 2,788 Securities With 17 Voluntary Additions on March 3, 1987
87-10 Proposed Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts
87-9 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
87-8 South African Sanctions Act Regulations
87-7 NASDAQ National Market System Grows to 2,775 Securities With 17 Voluntary Additions on February 17, 1987
87-6 Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure For the Small Order Execution System (SOES)
87-5 NASDAQ National Market System Grows to 2,754 Securities With 24 Voluntary Additions on February 3, 1987
87-4 Presidents' Day: Trade Date-Settlement Date Schedule
87-3 NASDAQ National Market System Grows to 2,729 Securities With 17 Voluntary Additions on January 20, 1987
87-2 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
87-1 Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule