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  • 88-80 Third-Quarter Check List of NASD Notices to Members

    SUGGESTED ROUTING*

    Corporate Finance
    Government
    Institutional
    Internal Audit
    Legal & Compliance
    Municipal
    Mutual Fund
    Operations
    Options
    Registration
    Research
    Syndicate
    Trading
    Training

    *These are suggested departments only. Others may be appropriate for your firm.

    The following NASD Notices to Members were issued during the third quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506

    Notice

    Date

    Topic

    88-44

    7/01

    Mail Vote on Rule Amendments: Supervision and Definitions of "Branch Office" and "Office of Supervisory Jurisdiction"

    88-45

    7/01

    Mail Vote on Proposed Rule Re Outside Business Activity

    88-46

    7/01

    Rule Amendment to Authorize Trading Halts in NASDAQ Securities

    88-47

    7/01

    Request for Comments Re Prompt Receipt and Delivery of Securities

    88-48

    7/01

    Request for Comments on Amendment Re Filling Vacancies on District Committees

    88-49

    7/01

    Request for Comments on Proposed Prohibition of Concurrent Registration

    88-50

    7/01

    Guidelines for Registration of Persons Soliciting on Behalf of Members

    88-51

    7/01

    Registration of Foreign Branch Offices by August 1,1988

    88-52

    7/01

    Rule Amendment ReTestimonial Advertisements

    88-53

    7/01

    SIPC Trustee Appointed for Fitzgerald, DeArman & Roberts, Inc

    88-54

    7/01

    (Supplement 1) Implementation of Reporting Requirements for Non-NASDAQ OTC Securities

    88-55

    8/01

    Amendments Adopted Re Sharing in Customer Accounts and Performance-Based Fees

    88-56

    8/01

    Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD

    88-57

    8/01

    NASDAQ National Market System Additions, Changes, and Deletions as of July 22, 1988

    88-58

    8/01

    September First-Saturday Exam Session Date Changes

    88-59

    8/01

    Schedule for Labor Day Trade Date-Settlement Date

    88-60

    8/01

    Second-Quarter 1988 Notices to Members Check List

    88-61

    8/25

    (Supplement) Interpretation of SOES Rules Re Maximum Order Size Restrictions

    88-62

    9/01

    SEC Adopts Rule 10b-21 Prohibiting Short Selling into Secondaries

    88-63

    9/01

    SEC Approves Rule: Issuing Companies Must Notify NASD Re Material News Before Public Release

    88-64

    9/01

    Mail Vote on Proposed Amendment Re Advertising and Sales Literature for Investment Company Securities

    88-65

    9/01

    Request for Comment: Proposed Amendment Re Use and Disclosure of Member Names

    88-66

    9/01

    Test Center Location Change for September Houston Series 7 Exam

    88-67

    9/01

    Obligation to Provide Accurate Information on Forms U-4 and U-5 and Research Potential Employees' Backgrounds

    88-68

    9/01

    Request for Comment: Providing Terminated Employees with Form U-5 and Obtaining Prior Form U-5 for Potential Employees

    88-69

    9/01

    Procedures to Document Excused Market-Maker Withdrawal Under Schedule D of By-Laws

    88-70

    9/01

    Schedule for Columbus Day Trade Date-Settlement Date

    88-71

    9/01

    NASDAQ National Market System Additions, Changes, and Deletions as of August 19

    88-72

    10/01

    Mail Vote on Proposed Change in Definition of "Bona Fide Research"

    88-73

    10/01

    UPC Amendment Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicate

    88-74

    10/01

    Amendments to Code of Procedure Re Composition of Panels for DBCC and Market Surveillance Hearings

    88-75

    10/01

    Amendment Eliminating the Fine Ceilings in Disciplinary Pro-ceed-ings

    88-76

    10/01

    Houston Test Center Change for October 15 Series 7 Examination

    88-77

    10/01

    SIPC Trustee Appointed for Fair-weather (George R.) Securities, Inc., Jersey City, New Jersey

    88-78

    10/01

    New Telephone Number for NASD's Rockville, Maryland Office Effective October 14,1988

    88-79

    10/01

    NASDAQ National Market System Additions, Changes, and Deletions as of September 16,1988

    88-80

    10/01

    Third-Quarter 1988 Check List of NASD Notices to Members

    88-81

    10/01

    NASD Raises Corporate Filing Fees, Effective October 1, 1988

    Correction to Notice to Members 88-55

    10/01 Re Sharing in Customer Accounts