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  • 99-18 Annual Checklist Of NASD Notices to Members

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    The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1998. Duplicate copies are available for $25 per monthly or special issue. A two-volume, bound and indexed edition of the entire year's Notices is also available for $100. 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 MediaSourceSM, P.O. Box 9403, Gaithersburg, MD 20898- 9403. Credit card telephone orders can be made by calling (301) 590-6142,Monday through Friday, 9 a.m. to 5 p.m., Eastern Time.

    January   Page
    98-1 Arbitration Process Fees 3
    98-2 SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization 7
    98-3 Electronic Delivery Of Information Between Members And Their Customers 13
    98-4 Reminder Of Members' Obligations To Comply With Rule 15c2-4 19
    98-5 SEC Approves Changes To Third Market Trading Rules 29
    98-6 SEC Approves Changes To Rules On Market Maker Withdrawals And Reinstatements 35
    98-7 Unregistered Foreign Equities And ADRs No Longer Eligible For Quotation In OTC Bulletin Board; Effective April 1, 1998 41
    98-8 Treasury Requires Reporting Of Claims Against Government Of North Korea 45
    98-9 1997-98 Renewal Rosters And Final Adjusted Invoices 51
    98-10 Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS) 53
    98-11 SEC Approes Rules Regarding Supervision,Review, And Record Retention Of Correspondence; Effective February 15, 1998 59
    98-12 Presidents' Day: Trade Date-Settlement Date Schedule 67
    98-13 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 30, 1997 69
    98-14 NASD Requests Comment On Limiting Quotations On Over-The-Counter Bulletin Board (OTCBB) To Securities Of Reporting Issuers; Comment Period Expires February 16, 1998 85
    98-15 NASD Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For Over-The-Counter (OTC) Equity Securities; Comment Period Expires February 16, 1998 93

    February   Page
    98-16 SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42) 101
    98-17 SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55) 107
    98-18 NASD Regulation Permits Electronic Methods For Holding Annual Interviews Or Meetings With Registered Representatives 111
    98-19 SEC Requests Comment On Proposed Amendments To Net Capital Rule 113
    98-20 Treasury Updates List Of Specially Designated Persons And Entities 115
    98-21 SEC Approves Amendments To Rule On Clearly Erroneous Transactions 123
    98-22 Year 2000 Frequently Asked Questions 129
    98-23 SEC Requests Comment On Proposed Amendments To Continuing Education Rules 133
    98-24 Annual Checklist Of NASD Notices to Members 139
    98-25 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 23, 1998 143
    98-26 SEC Approves Temporary Changes To NYSE Circuit Breaker/Trading Halt Rules 145

    March   Page
    98-27 Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved 163
    98-28 Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory 173
    98-29 SOES Tier-Size Levels Set To Change April 1, 1998 183
    98-30 NASD Office Of The Ombudsman Clarifies Its Role 191
    98-31 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 1998 193
    98-32 Good Friday: Trade Date-Settlement Date Schedule 195
    98-33 SEC Approves New Order Audit Trail System (OATS) 219
    98-34 SEC Requests Comment On Amendments To Rule 17a-5 Requiring Reports On Year 2000 Preparedness 231

    April   Page
    98-35 SEC Approves Changes To Continuing Education Rules 245
    98-36 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 25, 1998 249
    98-37 Memorial Day: Trade Date-Settlement Date Schedule 253

    May   Page
    98-38 NASD Reminds Members Of Supervisory And Inspection Obligations 273
    98-39 NASD Reminds Sanction Guidelines 277
    98-40 Nasdaq To Incorporate Trade Acceptance And Reconciliation Service Into Automated Confirmation Transaction Service 281
    98-41 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1998 285

    June   Page
    98-42 NASD Regulation Requests Comment On Proposed Rules Regarding Cease-And-Desist Proceedings; Comment Period Expires July 31, 1998 309
    98-43 Federal Reserve System Amends Regulations T, U, And X 315
    98-44 SOES Tier-Size Levels Set To Change July 1, 1998 319
    98-45 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1998 327
    98-46 Independence Day: Trade Date-Settlement Date Schedule 329

    July   Page
    98-47 SEC Approves Changes To Books And Records Requirements 353
    98-48 SEC Approves Amendments To Free-Riding And Withholding Interpretation; Effective August 17, 1998 357
    98-49 SEC Approves Amendments To Rule Regarding Options Position Limits; Effective June 12, 1998 377
    98-50 Treasury Updates List Of Specially Designated Persons And Entities 387
    98-51 Exemptive Relief Under MSRB Rule G-37(i) 389
    98-52 SEC Approves Taping Rule; Effective August 17, 1998 393
    98-53 Members Reminded To Report Executive Representative And Address Changes 403
    98-54 SEC Approves Rule Change Regarding Approval Of Research Reports 405
    98-55 Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS) 407
    98-56 SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes; Effective January 1, 1999 419
    98-57 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998 423
    98-58 NASD Manual Now On-Line 425
    98-59 SEC Approves Amendments To NASD Rule 1120 (Continuing Education Requirements) 427
    98-60 NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule 431
    98-61 NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees 451
    98-62 District Committee And District Nominating Committee Election Procedures And National Adjudicatory Council Nomination Procedures 453
    98-63 NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers To File Year 2000 Reports And Releases Year 2000 Survey Results 465

    August   Page
    98-64 Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board; Last Voting Date: September 9, 1998 485
    98-65 NASD Reminds Members Of Obligations Relating To The Short-Sale Rule 495
    98-66 NASD Clarifies Acceptable Customer Access To SelectNet And SOES 497
    98-67 SEC Approves Amendment To Rule On Fidelity Bonding Requirements; Effective September 15, 1998 503
    98-68 Update On The Securities Industry Continuing Education Program 505
    98-69 Labor Day: Trade Date-Settlement Date Schedule 525
    98-70 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998 527
    98-71 NASD Regulation Requests Comment On Whether To Modify The Public Disclosure Program To Limit The Period For Disclosure Of Certain Criminal Information; Comment Period Expires September 30, 1998 553

    September   Page
    98-72 Regional Nominating Committee Nominees For The National Adjudicatory Council 561
    98-73 Firms Required To Register For Order Audit Trail System; Amendments To OATS Rules 567
    98-74 SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards 575
    98-75 SEC Approves Rule Change Relating To Non-Cash Compensation For Mutual Funds And Variable Products 577
    98-76 Maximum SOES Order Sizes Set To Change October 1, 1998 587
    98-77 Executive Representatives Must Maintain Internet Electronic Mail Account By January 1, 1999; Complimentary Hard Copy Distribution Of Key Publications To End January 1, 1999 595
    98-78 NASD Clarifies Operation Of The Limit Order Protection Rule During Unusual Market Conditions 597
    98-79 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 23, 1998 599
    98-80 Nominees For NASD Board Of Governors 621

    October   Page
    98-81 NASD Regulation Requests Comment On Whether Some Rules Should Be Repealed As Obsolete Or Amended To Provide Institutional Customer Exception; Comment Period Expires November 30, 1998 631
    98-82 SEC Approves Amendments To Automated Confirmation Transaction Service And Transaction Reporting Rules 635
    98-83 SEC Approves Rule Change Relating To Standards For Individual Correspondence; Effective November 16, 1998 637
    98-84 Broker/Dealer And Agent Renewals For 1999 645
    98-85 SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked And Crossed Markets, And Members' Obligation To Provide Nasdaq With Certain Information 649
    98-86 Columbus Day, Veterans Day, And Thanksgiving Day: Trade Date-Settlement Date Schedule 655
    98-87 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 24, 1998 657
    98-88 Underwriting Compensation In Public Offerings 661
    98-89 NASD Announces Changes In CRD Filing Fees 683

    November   Page
    98-90 New Arbitrator List Selection Rules And Monetary Thresholds For Simplified And Single Arbitration Cases Take Effect 687
    98-91 NASD Alerts Members To Their Obligations Concerning Cold Calling And Advertising To Persons In The United Kingdom 695
    98-92 NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3) 697
    98-93 NASD Informs Members Of District Committee Members And District Nominating Committee Members 699
    98-94 Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule 711
    98-95 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1998 713

    December   Page
    98-96 NASD Elaborates On Member Firms' Supervision Responsibilities For Trade Reporting And Market-Making Activities 731
    98-97 Notice Of Increase In Advertising Review Fees 737
    98-98 SEC Approves Rule Change Relating To Mutual Fund Breakpoint Sales 739
    98-99 SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers 741
    98-100 FOCUS Filing Due Dates For 1999 751
    98-101 NASD Requests Comment On Proposed Amendments To Disclosure Questions On Forms U-4 And U-5; Comment Period Expires January 15, 1999 753
    98-102 Calculating Margin For Day-Trading And Cross-Guaranteed Accounts 759
    98-103 Maximum SOES Order Sizes Set To Change January 1, 1999 765
    98-104 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 23, 1998 773
    98-105 NASD 1999 Holiday Schedule 775
    98-106 Trade Date-Settlement Date Schedule For 1999 777
    98-107 NASD Reminds Members Of Their Obligations To Disclose Mutual Fund Fees 783
    98-108 NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1, 1999 805