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  • 90-6 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 1989. Duplicate copies are available at $15 per monthly 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

    89-1

    1/89

    Proposed By-Laws Amendment on Filling Vacancies on District Committees

    89-2

    1/89

    Proposed New Rule Re: Business Conduct of Members

    89-3

    1/89

    Proposed Rule to Restrict Payment of Referral Fees by NASD Members

    89-4

    1/89

    Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services

    89-5

    1/89

    Insider Trading and Securities Fraud Enforcement Act of 1988

    89-6

    1/89

    State Participation in CRD Form BD and BDW Processing

    89-7

    1/89

    1989 Renewal Rosters and Final Adjusted Invoices

    89-8

    1/89

    NASD 1989 Holiday Schedule

    89-9

    1/89

    Trade Date-Settlement Date

    89-10

    1/89

    Schedule for 1989 NASDAQ National Market Additions, Deletions, and Changes as of December 13,1988

    89-11

    2/89

    SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities

    89-12

    2/89

    Reporting Suspicious Currency and Other Questionable Transactions to the IRS/Customs Hotline

    89-13

    2/89

    Access to Disciplinary Information on Prospective Employees

    89-14

    2/89

    SEC Approves Amendments to Rule 17f-l, Lost and Stolen Securities Program

    89-15

    2/89

    Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations

    89-16

    2/89

    Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs

    89-17

    2/89

    Adoption of Rule Amendments Mandating the Automated Submission of Trading Data Technical Specifications

    89-18

    2/89

    Presidents' Day: Trade Date-Settlement Date Schedule

    89-19

    2/89

    NASDAQ National Market Additions, Deletions, and Changes as of January 12, 1989

    89-20

    2/17/89

    Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice

    89-21

    3/89

    Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements

    89-22

    3/89

    Proposed Amendment Re: Use and Disclosure of Member Names

    89-23

    3/89

    Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees

    89-24

    3/89

    Proposed Amendment to Schedule C to the NASD By-Laws to Amend the Definition of a Direct Participation Program

    89-25

    3/89

    SIPC Reimposes Assessments Based on Percentage of Gross Revenue

    89-26

    3/89

    Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks

    89-27

    3/89

    Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form

    89-28

    3/89

    Approval and Immediate Effectiveness of Amendment to Definition of "Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice

    89-29

    3/89

    SOES Tier Levels to Change for 575 Issues on March 17, 1989

    89-30

    3/89

    Good Friday Trade Date-Settlement Date Schedule

    89-31

    3/89

    NASDAQ National Market Additions, Deletions, and Changes as of February 10, 1989

    89-32

    3/89

    Temporary Receiver Appointed for Investors Center, Inc.

    89-33

    4/89

    Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions

    89-34

    4/89

    Guidelines for Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures

    89-35

    4/89

    Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads

    89-36

    4/89

    SIPC Trustee Appointed for Investors Center, Inc.

    89-37

    4/89

    NASDAQ National Market Additions, Changes, and Deletions as of March 13, 1989

    89-38

    4/89

    Quarterly Check List of Notices to Members

    89-39

    5/89

    Proposed New Rule Re: Handling Customer Limit Orders

    89-40

    5/89

    Proposed Amendment to Code of Procedure Re: Summary Remedial Proceedings

    89-41

    5/89

    SEC Approval of By-Laws Amendment on Filling Vacancies on District Committees

    89-42

    5/89

    Memorial Day Trade Date-Settlement Date Schedule

    89-43

    5/89

    NASDAQ National Market Additions, Changes, and Deletions as of April 13, 1989

    89-44

    6/89

    Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989

    89-45

    6/89

    Independence Day Trade Date-Settlement Date Schedule

    89-46

    6/89

    NASDAQ National Market Additions, Changes, and Deletions as of May 15,1989

    89-47

    7/89

    Notice to Membership of Disciplinary Actions; Publication of Sanctions; Availability of NASD Manual

    89-48

    7/89

    All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective September 1, 1989

    89-49

    7/89

    SEC Approval of Amendment to Schedule C of NASD By-Laws to Require Members to Submit Applications for and Maintain Registration of Only Such Persons Who Intend to Engage or Are Engaged in the Investment Banking or Securities Business for the Member

    89-50

    7/89

    NASD Initiates Computerized Extension Request Service for Regulation T and SEC Rule 15c3-3; New Form Required

    89-51

    7/89

    Proposed Amendments to Article III, Section 26, of the NASD Rules of Fair Practice Re: Cash and Noncash Concessions in Connection with the Retail Sale of Investment-Company Securities

    89-52

    7/89

    SEC Approval of Amendment to Schedule C of By-Laws to Establish Waiting Periods Between Attempts to Pass Qualification Examinations

    89-53

    7/89

    NASDAQ National Market Additions, Changes, and Deletions as of June 14, 1989

    89-54

    7/7/89

    Correction to Notice to Members 89-48 â€" All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective August 1, 1989

    89-55

    8/89

    Proposed Amendments to the NASD Uniform Practice Code Re: Clearly Erroneous Trades; and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances

    89-56

    8/89

    Proposed Amendments to NASD Uniform Practice Code Re: Mandatory Buy-In for Short Sales

    89-57

    8/89

    SEC Approval of By-Law and Rule of Fair Practice Amendments on Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees â€" Effective September 1, 1989

    89-58

    8/89

    Amendment Re: Predispute Arbitration Clauses in Customer Agreements

    89-59

    8/89

    Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments

    89-60

    8/89

    Labor Day Trade Date-Settlement Date Schedule

    89-61

    8/89

    NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989

    89-62

    9/89

    Columbus Day Trade Date-Settlement Date Schedule

    89-63

    9/89

    NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989

    89-64

    10/89

    SEC Approval of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions

    89-65

    10/89

    SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities

    89-66

    10/89

    Size of "Normal" Unit of Trading for NASDAQ-Listed Debentures

    89-67

    10/89

    SOES Tier Levels to Change for 521 Issues on October 9, 1989

    89-68

    10/89

    NASDAQ National Market Additions, Changes, and Deletions as of September 14, 1989

    89-69

    10/11/89

    SEC Proposes Significant Amendments to the Net Capital Rule

    89-70

    11/89

    Automated Submission of Trading Data

    89-71

    11/89

    SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of Sanctions, and Availability of NASD Manual

    89-72

    11/89

    Broker-Dealer and Agent Renewals for 1989-90

    89-73

    11/89

    Revisions to Certain NASD Qualification Examinations

    89-74

    11/89

    Thanksgiving Day: Trade Date-Settlement Date Schedule

    89-75

    11/89

    NASDAQ National Market Additions, Changes, and Deletions as of October 12,1989

    89-76

    12/89

    Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990

    89-77

    12/89

    Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption

    89-78

    12/89

    Availability of Two New NASD Categories of Registration and Qualification Examinations

    89-79

    12/89

    NASD 1990 Holiday Schedule

    89-80

    12/89

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

    89-81

    12/89

    NASDAQ National Market Additions, Changes, and Deletions as of November 13, 1989