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87-59 Check List of NASD Notices to Members

TO: All NASD Members and Other Interested Persons

The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 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

Fourth Quarter—1986

Notice Number

Date

Topic

86-67

October 2, 1986

NASDAQ National Market System Grows To 2,580 Securities With 23 Voluntary Additions on October 7, 1986

86-68

October 6, 1986

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

86-69

October 10, 1986

Amendments to NASD Rules on Short Sales Become Effective October 15, 1986

86-70

October 15, 1986

NASDAQ National Market System Grows To 2,602 Securities With 12 Voluntary Additions On October 21, 1986

86-71

October 15, 1986

Holiday Settlement Schedule - November 1986

86-72

October 15, 1986

SIPC Trustee Appointed -Norbay Securities, Inc. 3635 BeU Boulevard Bayside, New York 11361

86-73

October 16, 1986

Effectiveness of Exemption from NASD Board of Governors' Free-Riding Interpretation for Conversions of Savings And Loan Associations and Certain Other Organizations

86-74

October 30, 1986

Proposed Amendments to Article III, Section 19(f) and Section 33(d) of the NASD Rules of Fair Practice and Article X, Section 6 of the NASD By-Laws

86-75

October 30, 1986

NASDAQ National Market System Grows To 2,638 Securities With 25 Voluntary Additions on November 4, 1986, and Eight Mandatory Inclusions on November 11, 1986

86-76

November 10, 1986

South African Sanctions Act

86-77

November 10, 1986

SIPC Trustee Appointed -John Franklin <5c Associates 1975 Hempstead Turnpike East Meadow, New York 11554

86-78

November 13, 1986

NASDAQ National Market System Grows To 2,658 Securities With 21 Voluntary Additions on November 18, 1986

86-79

November 13, 1986

Quarterly Checklist of Notices to Members

86-80

November 14, 1986

Proposed Changes to the Financial Recordkeeping and Reporting of Currency and Foreign Transactions

86-81

November 21, 1986

Amendments to Appendix F Regarding Freely Tradable Partnership Units Effective Immediately

86-82

November 21, 1986

1987 Schedule of Holidays

86-83

December 1, 1986

Proposed New NASD Rule of Fair Practice Prohibiting Members From Effecting Securities Transactions During Trading Halts

86-84

November 26, 1986

NASDAQ National Market System Grows To 2,687 Securities With 30 Voluntary Additions on December 2, 1986

86-85

December 5, 1986

Request for Comments on Proposed Amendments to Article II, Sections 3, 4 And 5 of the NASD By-Laws

86-86

December 15, 1986

NASDAQ National Market System Grows To 2,709 Securities With 26 Voluntary Additions on December 16, 1986

86-87

December 16, 1986

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

86-88

December 19, 1986

Effect of the Tax Reform Act of 1986 on NASD Qualifications Examinations

86-89

December 29, 1986

NASDAQ National Market System Grows To 2,734 Securities With 30 Voluntary Additions on January 6, 1987

First Quarter—1987

Notice Number

Date

Topic

87-1

January 6, 1987

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

87-2

January 7, 1987

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, 1987

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

87-4

January 21, 1987

Presidents' Day: Trade Date-Settlement Date Schedule

87-5

January 29, 1987

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

87-6

January 30, 1987

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, 1987

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

87-8

February 17, 1987

South African Sanctions Act Regulations

87-9

February 19, 1987

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, 1987

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

87-11

February 25, 1987

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

87-12

February 26, 1987

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

87-13

February 27, 1987

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

87-14

March 2, 1987

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, 1987

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, 1987

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, 1987

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

87-18

March 25, 1987

Good Friday: Trade Date-Settlement Date Schedule

87-19

March 27, 1987

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

Second Quarter—1987

Notice Number

Date

Topic

87-20

April 1, 1987

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

87-21

April 2, 1987

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

87-22

April 13, 1987

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

87-23

April 14, 1987

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

87-24

April 14, 1987

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

87-25

April 14, 1987

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

87-26

April 14, 1987

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

87-27

April 30, 1987

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, 1987

Memorial Day: Trade Date-Settlement Date Schedule

87-29

May 14, 1987

NASDAQ/MSE: Unlisted Trading Privileges

87-30

May 28, 1987

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

87-31

May 28, 1987

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

87-32

June 1, 1987

Request for Comments on Shareholder Voting Rights Proposal for NASDAQ Companies

87-33

June 1, 1987

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

87-34

June 2, 1987

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

87-35

June 9, 1987

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

87-36

June 12, 1987

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

87-37

June 16, 1987

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, 1987

Independence Day: Trade Date- Settlement Date Schedule

87-39

June 19, 1987

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, 1987

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, 1987

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


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