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  • 94-3 Annual Check List of NASD Notices to Members

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    The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be sent to NASD MediaSource,SM P.O. Box 9403, Gaithersburg, MD 20898-9403. Credit card telephone orders for bound volumes can be made by telephoning (301) 590-6578, Monday to Friday, 9 a.m. to 5 p.m., Eastern Time.

    Notice

    Date

    Topic

    Page


    93-1

    1/93

    SEC Approval of Amendment to Article III, Section 15 of the NASD Rules of Fair Practice; Effective December 3, 1992

    3

    93-2

    1/93

    Market-Maker Obligations With Regard to Display of Size in Quotations

    5

    93-3

    1/93

    SEC Approval of Amendments to Branch-Office Fees

    7

    93-4

    1/93

    1993 Renewal Rosters and Final Adjusted Invoices

    9

    93-5

    1/93

    Annual Check List of NASD Notices to Members

    11

    93-6

    1/93

    Presidents' Day - Trade Date-Settlement Date Schedule

    15

    93-7

    1/93

    Nasdaq National Market Additions, Changes, and Deletions as of December 21, 1992

    17

    93-8

    2/93

    SEC Approval of Amendment Relating to the Payment of Gratuities or Anything of Value by Members to Others

    33

    93-9

    2/93

    SEC Approves Amendments to NASD® Rules Governing Transaction Reporting

    35

    93-10

    2/93

    Request for Comments on Proposed Amendment to the Corporate Financing Rule Relating to the Fairness and Reasonableness of Underwriter Warrant's Anti-Dilution Provisions

    41

    93-11

    2/93

    SEC Grants OTC Bulletin Board® Interim Designation As a "Qualifying Electronic Quotation System"

    45

    93-12

    2/93

    Questions and Answers About New NASD® Rules Governing Investment Company Sales Charges - Article III, Sections 26(b) and (d) of the Rules of Fair Practice

    49

    93-13

    2/93

    Market-Maker Display of Size in Nasdaq Small-Cap Market™ Securities

    61

    93-14

    2/93

    Nasdaq National Market® Additions, Changes, and Deletions as of January 21, 1993

    63

    93-15

    3/93

    Mail Vote - Proposed Amendments to Articles VII and XII of the NASD By-Laws and Article III of the NASD Rules of Fair Practice to Make All Rule Approval Procedures Under the By-Laws Uniform; Last Voting Date: April 23, 1993

    81

    93-16

    3/93

    SEC Approves Code of Procedure Amendments That Permit the NASD to Institute Summary Revocation Proceedings for Failing to Pay an Arbitration Award

    87

    93-17

    3/93

    SEC Approves Changes to Uniform Practice Code Establishing Close-Out Procedures for Fails

    89

    93-18

    3/93

    SEC Approves Collateralized Mortgage Obligations Advertising Guidelines for Communications With the Public

    99

    93-19

    3/93

    NASD Reminds Members to Settle Syndicate Accounts Within 90 Days of the Settlement Date

    105

    93-20

    3/93

    NASD and Other SROs Launch Continuing Education Effort for Member Firms

    107

    93-21

    3/93

    Good Friday: Trade Date- Settlement Date Schedule

    109

    93-22

    3/93

    Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1993

    111

    93-23

    4/2/93

    SEC Approves New NASD Margin Rules

    125

    93-24

    4/93

    SEC Approves Fifth-Character Iden tifier in Market-Maker Symbols for Non-Primary Trading Location

    147

    93-25

    4/93

    SEC Approves New Trade-Reporting Requirements for Late-Trade Reports

    149

    93-26

    4/93

    NASD Urges Members to Provide Complete and Accurate Blue Sheet Submissions

    153

    93-27

    4/93

    Memorial Day: Trade Date- Settlement Date Schedule

    157

    93-28

    4/93

    Nasdaq National Market® Additions, Changes, and Deletions as of March 23, 1993

    159

    93-29

    4/23/93

    SEC Approves Rule 10b-6 Passive Market Making and Changes to Notification Procedures Under Schedule D of the NASD By-Laws

    175

    93-30

    5/93

    NASD Provides SEC-Approved Clarifications and Interpretations to Recent Net Capital Rule Amendments

    189

    93-31

    5/93

    SEC Requests Comments on Proposal to Establish Three- Business-Day Settlement for Securities Transactions

    199

    93-32

    5/93

    NASD Publishes Sanction Guide lines to Familiarize Members With Major Violations and Penalties

    201

    93-33

    5/93

    The Role of the NASD's Disciplinary Committees.

    203

    93-34

    5/93

    Nasdaq National Market Additions, Changes, and Deletions as of April 23, 1993

    207

    93-35

    6/93

    Mail Vote - Proposed Amendment to the Procedures for Filling Vacancies on NASD Nominating Committees; Last Voting Date: July 26, 1993

    227

    93-36

    6/93

    Codification of Investment Company Advertising Guidelines

    229

    93-37

    6/93

    NASD Expands the Public Disclosure Program

    233

    93-38

    6/93

    Independence Day: Trade Date- Settlement Date Schedule

    235


    93-39

    6/93

    Nasdaq National Market Additions, Changes, and Deletions as of May 24, 1993

    237

    93-40

    6/15/93

    Request for Comments on Proposed Amendments to the Free-Riding and Withholding Interpretation Under Article III, Section 1 of the Rules of Fair Practice

    257

    93-41

    7/93

    SEC Approves Schedule D Amendments Permitting Excused Withdrawal or Passive Market- Making Status for Distribution Participants That Are Nasdaq Market Makers

    269

    93-42

    7/93

    SEC Approves NASD's Minor Rule Violations Plan

    275

    93-43

    7/93

    SEC Approves Modified Excess Spread Parameters for Market Makers

    279

    93-44

    7/93

    SEC Approves Increase in Non-Cash Sales Incentive Compensation

    281

    93-45

    7/93

    SEC Approves Mandatory Book- Entry Settlement of Transactions in Depository-Eligible Securities

    283

    93-46

    7/93

    SEC Provides Additional Clarifications and Interpretations to Net Capital Rule Amendments

    285

    93-47

    7/93

    SEC Permits Use of Optical Storage Technology for Records Retention

    289

    93-48

    7/93

    Nasdaq National Market Additions, Changes, and Deletions as of June 22, 1993

    295

    93-49

    7/23/93

    Solicitation of Member Comment on Board Action to Eliminate the Disclosure Safe Harbor for Customer Limit Orders; Comment Period Expires August 31, 1993

    311

    93-50

    8/93

    Mail Vote - Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations and


    Supervisory Responsibilities of Introducing and Clearing Firms; Last Voting Date: September 27, 1993

    313

    93-51

    8/93

    Mail Vote - Proposed Amend ment to the Corporate Financing Rule Relating to Fairness and Reasonableness of Anti-Dilution Provisions in Underwriters' War rants, Options, and Convertible Securities: Last Voting Date: September 27, 1993

    317

    93-52

    8/93

    Mail Vote - Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Require ments: Last Voting Date: September 27, 1993

    323

    93-53

    8/93

    SEC Approves Amendments Relating to Close Outs of Short Sales and Bona Fide Fully Hedged or Arbitraged Positions

    325

    93-54

    8/93

    SEC Approves Quotation-Size Requirements for Market Makers in OTC Equity Securities

    329

    93-55

    8/93

    SEC Amends and Clarifies Penny Stock Rules

    331

    93-56

    8/93

    Quotation and Trade-Reporting Requirements for Members Dealing in High-Yield Bonds

    335

    93-57

    8/93

    SOES Tier Levels Set to Change for 517 Issues on September 1, 1993

    339

    93-58

    8/93

    NASD Member Buying Services Provides Members With Discounted Products and Services

    347

    93-59

    8/93

    Labor Day: Trade Date-Settlement Date Schedule

    351

    93-60

    8/93

    Nasdaq National Market® Additions, Changes, and Deletions as of July 22, 1993

    353

    93-61

    9/93

    Mail Vote - NASD Solicits Member Vote on New Rule Governing the Pricing of Open Orders; Last Voting Date: October 29, 1993.

    375

    93-62

    9/93

    Requirements Governing Real-Time Trade Reporting in Over-the-Counter Equity Securities

    379

    93-63

    9/93

    SEC Approves Changes to Make All Arbitration Awards Publicly Available: Effective October 1, 1993

    383

    93-64

    9/93

    SEC Approves Amendments Concerning Arbitration of Employment-Related Disputes: Effective October 1, 1993

    385

    93-65

    9/93

    Columbus Day: Trade Date-Settlement Date Schedule

    387

    93-66

    9/93

    Nasdaq National Market® Additions, Changes, and Deletions as of August 24, 1993

    389

    93-67

    10/93

    Board Eliminates Disclosure Safe Harbor for Members Trading Ahead of Their Own Customers' Limit Orders

    405

    93-68

    10/93

    Quotation and Trade-Reporting Rules for Members Dealing in High-Yield Bonds

    407

    93-69

    10/93

    Broker/Dealer and Agent Renewals for 1993-94

    411

    93-70

    10/93

    SEC Amends Rule 17a-5 Giving Additional Responsibilities to Designated Examining Authorities

    415

    93-71

    10/93

    SEC Provides Relief From Its Net Capital Rule's "Ready Market" Provisions for Foreign Equity Securities; Seeks Comments for Proposed Rulemaking

    417

    93-72

    10/93

    SEC Approves Major Revisions to Rule 17a-11

    425

    93-73

    10/93

    Members' Obligations to Customers When Selling Collateralized Mortgage Obligations (CMOs)

    431

    93-74

    10/93

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

    435

    93-75

    10/93

    Nasdaq National Market® Additions, Changes, and Deletions as of September 24, 1993

    437

    93-76

    11/93

    Mail Vote - NASD Solicits Member Vote on Filing Requirements for Use of Mutual Fund Rankings and Elimination of Sunset Provisions in Prefiling Requirements for CMO Advertisements; Last Voting Date: December 31, 1993

    449

    93-77

    11/93

    SEC Adopts Rule 15c6-1; Establishes Three-Business-Day Settlement for Securities Transactions

    453

    93-78

    11/93

    SEC Approves Extension of MSRB Continuing Disclosure Information Pilot System

    473

    93-79

    11/93

    Christmas Day: Trade Date- Settlement Date Schedule

    475

    93-80

    11/93

    Nasdaq National Market® Additions, Changes, and Deletions as of October 25, 1993

    477

    93-81

    11/93

    NASD Reminds Members of the Requirement for Fairness of Agency Commissions and Applicability of the 5% Policy

    481

    93-82

    12/93

    Mail Vote - NASD Solicits Member Vote on Proposed Amendment Exempting Money Market Mutual Funds From Disclosure Requirements; Last Voting Date: January 31, 1994.

    503

    93-83

    12/93

    SEC Approves New Trade Reporting Requirements for Pre-Opening Transactions and Convertible Debt Transactions

    505

    93-84

    12/93

    SEC Approves Amendments


    Prohibiting Certain Anti-Dilution Terms in the Warrant Agreements of Underwriters and Related Per sons; Effective Date: December 15, 1993

    511

    93-85

    12/93

    SEC Approves Amendments to CMO Advertising Guidelines: Effective Immediately

    513

    93-86

    12/93

    SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Reso lution of Fails Resulting From Account Transfers; Effective February 1, 1994

    515

    93-87

    12/93

    NASD Provides Guidance for Rein vestment of Maturing Certificates of Deposit in Mutual Funds

    517


    93-88

    12/93

    SEC Approves Amendment Clarifying the Application of the NASD's Corporate Financing Rule to Rule 415 Shelf Offerings and Certain Canadian Securities; Effective Date: February 1, 1994

    521

    93-89

    12/93

    NASD 1994 Holiday Schedule

    535

    93-90

    12/93

    Trade Date-Settlement Date Schedule for 1994

    537

    93-91

    12/93

    Nasdaq National Market® Additions, Changes, and Deletions as of November 26, 1993

    543