Rich text Print
  • 85-4 Quarterly Checklist of Notices to Members

    TO: All NASD Members and Other Interested Persons

    Following is a list of NASD Notices to Members issued during the fourth quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.

    Notice Number

    Date

    Topic

    84-52

    October 5, 1984

    Next NASDAQ/NMS Phase-In Scheduled for October 16

    84-53

    October 9, 1984

    Request for Comments on Proposed Amendment to Appendix F Concerning Suitability Requirements for Freely Tradeable Partnership Units

    84-54

    October 9, 1984

    Quarterly Checklist of Notices to Members

    84-55

    October 15, 1984

    Implementation of NASDAQ Equity Audit Trail

    84-56

    October 19, 1984

    Three Securities Mandated to Join NASDAQ/NMS on November 13, 1984

    84-57

    October 23, 1984

    Federal Reserve Board Acts to Grant Immediate Margin Status To AU NASDAQ/NMS Issues

    84-58

    October 23, 1984

    Thanksgiving Day: Trade Date - Settlement Date Schedule

    84-59

    November 7, 1984

    National Market System Grows to 1,142 Securities With 40 Voluntary Additions on November 20

    84-60

    November 7, 1984

    1985 Schedule of Holidays

    84-61

    November 14, 1984

    PLATO Learning Centers to Close Thanksgiving Week/Change in Calculator Policy During All Testing Sessions

    84-62

    November 14, 1984

    Effect of the Tax Reform Act of 1984 and Amendments to Various NASD and SEC Rules on NASD Qualification Examinations

    84-63

    November 22, 1984

    Small Order Execution System (SOES)

    84-64

    November 26, 1984

    Securities and Exchange Commission Interpretation of Application of Rule 15c2-4 to Direct Participation Program Offerings

    84-65

    December 7, 1984

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

    84-66

    December 7, 1984

    SIPC Trustee Appointed For Vantage Securities of Colorado, Inc., Englewood, Colorado

    84-67

    December 10, 1984

    NASDAQ National Market System Grows to 1,185 Securities With 50 Voluntary Additions on December 18, 1984

    84-68

    December 17, 1984

    Amendments to the Uniform Practice Code to Provide for a Liability Notice Procedure and a Liability Notice Form

    84-69

    December 18, 1984

    Offshore Shell Bank Licenses Registered in Majuro, Marshall Islands

    84-70

    December 20, 1984

    25 Stocks Added to the Small Order Execution System (SOES)

    84-71

    December 26, 1984

    SEC Rule 15c2-2 Fully Effective

    84-72

    December 28, 1984

    Expansion of NASDAQ National Market System

    84-73

    December 28, 1984

    Proposed Amendment to the Uniform Practice Code to Require Prompt Settlement of Syndicate Accounts

    * * * *