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  • 91-8 Annual Check List of NASD Notices to Members

    SUGGESTED ROUTING:*

    Corporate Finance
    Government Securities
    Internal Audit
    Legal & Compliance
    Municipal
    Mutual Fund
    Operations
    Options
    Registration
    Research
    Syndicate
    Systems
    Trading
    Training
    *These are suggested departments only. Others may be appropriate for your firm.

    The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or special issue. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., should be sent to NASD Book Order Department, P.O. Box 9403, Gaithersburg, MD 20898-9403.

    Notice

    Date

    Topic

    90-1

    1/90

    Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration

    90-2

    1/90

    Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons

    90-3

    1/90

    1990 Registration Renewal Rosters and Final Adjusted Invoices

    90-4

    1/90

    Trade Date-Settlement Date Schedule for 1990

    90-5

    1/90

    Nasdaq National Market System Additions, Changes, and Deletions as of December 12, 1989

    90-6

    1/90

    Annual Check List of NASD Notices to Members

    90-7

    2/90

    Presidents' Day: Trade Date-Settlement Date Schedule

    90-8

    2/90

    Nasdaq National Market System Additions, Changes, and Deletions as of January 11, 1990

    90-9

    2/21/90

    Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990

    90-10

    3/90

    Mail Vote: Proposed Corporate Financing Rule

    90-11

    3/90

    Mail Vote: Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations

    90-12

    3/90

    Mail Vote: Proposed Amendments to Article III, Sections 2 and 21(c) of the Rules of Fair Practice Re: Customer Account Information

    90-13

    3/90

    Mail Vote: Proposed Technical Amendment to Pending Prompt Receipt Rule

    90-14

    3/90

    Mail Vote: Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Practice Re: Communications With the Public

    90-15

    3/90

    Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990

    90-16

    3/90

    New Interim Criteria for Initial Inclusion in the Nasdaq System

    90-17

    3/90

    Nasdaq National Market System Additions, Changes, and Deletions as of February 9, 1990

    90-18

    3/19/90

    SEC Staff Interpretations of Rule 15c2-6

    90-19

    4/90

    Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement the Recommendations of the Special Committee on NASD Structure and Governance

    90-20

    4/90

    Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 of the NASD Rules of Fair Practice

    90-21

    4/90

    Collection of Fines and Costs in Disciplinary Proceedings

    90-22

    4/90

    SOES Tier Levels to Change for 416 Issues on April 16, 1990

    90-23

    4/90

    Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO Computer-Based Delivery

    90-24

    4/90

    Good Friday: Trade Date-Settlement Date Schedule

    90-25

    4/90

    Nasdaq National Market System Additions, Changes, and Deletions as of March 15, 1990

    90-26

    4/16/90

    Proposed Amendments to Subsections (b)(4) and (d) of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation of Asset-Based Sales Charges by the NASD

    90-27

    5/90

    Mail Vote: Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Re: Disclosure of Deferred Sales Charges on Confirmations of the Sale of Investment Company Shares

    90-28

    5/90

    Automated Confirmation Transaction (ACT) Service Fees

    90-29

    5/90

    SEC Approval of New Schedule I to the NASD By-Laws Establishing and Setting Rules for The PORTALSM Market for Primary Distributions and Secondary Trading of Private Placements

    90-30

    5/90

    New Nasdaq Listing and Maintenance Standards

    90-31

    5/90

    Electronic Filing of Forms U-5 and Amendments to Form U-4

    90-32

    5/90

    Revised Forms U-4 and U-5 Go Into Effect

    90-33

    5/90

    Memorial Day: Trade Date-Settlement Date Schedule

    90-34

    5/90

    Nasdaq National Market System Additions, Changes, and Deletions as of April 12, 1990

    90-35

    5/9/90

    SEC Approval for and Startup of the OTC Bulletin Board

    90-36

    6/90

    Mail Vote: Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance

    90-37

    6/90

    Mail Vote: Proposed New Rule Re: Handling Customer Limit Orders

    90-38

    6/90

    Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part III, Section (1)(d) of Schedule C to the NASD By-Laws

    90-39

    6/90

    Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest

    90-40

    6/90

    SEC Approval of an Amendment to Schedule H to the NASD By-Laws Requiring Members to Demonstrate Compliance With Rule 15c2-11 Before Initiating Quotations in a Quotation Medium

    90-41

    6/90

    Independence Day: Trade Date-Settlement Date Schedule

    90-42

    6/90

    Nasdaq National Market System Additions, Changes, and Deletions as of May 14, 1990

    90-43

    7/90

    Proposed Amendment to Part I, Schedule C to the NASD By-Laws

    90-44

    7/90

    SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990

    90-45

    7/90

    SEC Approval of Amendments to Articles II and III of the NASD's Code of Procedure Regarding Board of Governors and Committee Proceedings in Disciplinary Actions, Effective August 1, 1990

    90-46

    7/90

    Reporting Disciplinary Information on Form BD

    90-47

    7/90

    Amendments to Code of Arbitration Procedure

    90-48

    7/90

    Nasdaq National Market System Additions, Changes, and Deletions as of June 14, 1990

    90-49

    7/90

    SIPC Trustee Appointed for First Ohio Securities Company

    90-50

    8/90

    Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying and Obtaining Approval of Employer Prior to Opening Securities Account With Another Member

    90-51

    8/90

    SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities

    90-52

    8/90

    SEC Approval of Amendments to Article III, Sections 2 and 21(c) of the Rules of Fair Practice Re: Customer Account Information

    90-53

    8/90

    Labor Day: Trade Date-Settlement Date Schedule

    90-54

    8/90

    Nasdaq National Market System Additions, Changes, and Deletions as of July 13, 1990

    90-55

    8/3/90

    SIPC Trustee Appointed for Blinder, Robinson & Company, Inc.

    90-56

    9/90

    Mail Vote: Proposed Amendments to Subsections (b) ("Definitions") and (d) ("Sales Charge Rule") of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation by the NASD of Mutual Fund Asset-Based Sales Charges

    90-57

    9/90

    Implementation of Amendment to Rules of Practice and Procedures for the Small Order Execution System Re: Market Makers' Entry of Agency Orders into SOES, Effective July 27, 1990

    90-58

    9/90

    Clarification of Schedule H Reporting Requirements

    90-59

    9/90

    Columbus Day: Trade Date-Settlement Date Schedule

    90-60

    9/90

    Nasdaq National Market System Additions, Changes, and Deletions as of August 13, 1990

    90-61

    10/90

    Mail Vote: Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 and Article V, Sections 1 and 3 of the NASD Rules of Fair Practice Re: Retention of Jurisdiction Over Member Firms and Associated Persons

    90-62

    10/90

    Mail Vote: Proposed Amendment Re: Use and Disclosure of Member Names

    90-63

    10/90

    Mail Vote: Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations

    90-64

    10/90

    Amendments to the NASD By-Laws and to Schedule B Thereof to Modify the Size and Composition of the Board of Governors and the Number and Configuration of the Districts, Effective September 4, 1990

    90-65

    10/90

    Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6

    90-66

    10/90

    Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital

    90-67

    10/90

    SOES Tier Levels to Change for 450 Issues on October 15, 1990

    90-68

    10/90

    Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination for Persons Whose Registration Has Been Revoked, Effective October 1, 1990

    90-69

    10/90

    Amendment to Schedule C of the NASD By-Laws Regarding Use of the Modified General Securities Representative Examination to Qualify Persons Registered With the Securities Association of the United Kingdom, Effective Immediately

    90-70

    10/90

    Veteran's Day: Trade Date-Settlement Date Schedule

    90-71

    10/90

    Nasdaq National Market System Additions, Changes, and Deletions as of September 13, 1990

    90-72

    10/90

    SIPC Trustee Appointed for DFW Clearing, Inc.

    90-73

    11/90

    Mail Vote: Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member

    90-74

    11/90

    Proposed Amendment to Article IV, Section 1 of the NASD Rules of Fair Practice Re: the Suspension of the Membership of Any Member or of the Registration of a Person Associated With a Member for a Definite Period Assessed As a Penalty for a Rule Violation

    90-75

    11/90

    New Requirement for Market Makers to Display Size in Quotations

    90-76

    11/90

    Broker-Dealer and Agent Renewals for 1990

    90-77

    11/90

    Thanksgiving Day: Trade Date-Settlement Date Schedule

    90-78

    11/90

    Nasdaq National Market System Additions, Changes, and Deletions as of October 11, 1990

    90-79

    12/90

    Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups

    90-80

    12/90

    SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service

    90-81

    12/90

    Amendments to the Code of Procedure to Change the Disciplinary Process and Provide That Decisions of the National Business Conduct Committee Are Final Actions of the NASD

    90-82

    12/90

    Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements

    90-83

    12/90

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

    90-84

    12/90

    Nasdaq National Market System Additions, Changes, and Deletions as of November 13, 1990

    90-85

    12/90

    SIPC Trustee Appointed for Carolina First Securities Group