1996 Notices to Members

 
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December 1996

96-91 Fixed Income Pricing System Additions, Changes, and Deletions as of November 29, 1996
96-90 Trade Date -- Settlement Date Schedule for 1997
96-89 NASD 1997 Holiday Schedule
96-88 SOES Tier Levels Set to Change January 2, 1997
96-87 NASD Regulation PROCTOR Transition to Sylvan Continues
96-86 NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements
96-85 Customer Complaint Reporting Rule Update
96-84 NASD Regulation Solicits Comment on the Use of Bond Mutual Fund Risk Ratings in Supplemental Sales Literature;
Comment Period Expires February 24, 1997
96-83 NASD Regulation Solicits Comment on Proposed Rule Relating to Prohibition on Members Receiving any Payment to Publish a Quotation, Make a Market in an Issuer's Securities, or Submit an Application in Connection Therewith;
Comment Period Expires February 3, 1997
96-82 NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Comment Period Expires January 30, 1997
96-81 SEC Transaction Fees Begin January 1, 1997, on Nasdaq and Other Prompt Last Sale Reported Non-Debt Transactions
For Your Information
Disciplinary and Other NASD Actions
 

November 1996

96-80 SEC Requests Comments on Proposed Amendments to SEC Rules 17a-3 and 17a-4
96-79 Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996
96-78 Christmas Day And New Year's Day: Trade Date--Settlement Date Schedule
96-77 CRD Will Provide Firms with Advisory Messages When Significant Disciplinary Actions Require Reentry of Individuals into the Regulatory Element of the Continuing Education Program
96-76 SEC Approves Amendment to IM-8310-2 Regarding the Availability of Disciplinary Complaints and Disciplinary Decisions Upon Request
Disciplinary and Other NASD Actions
 

October 1996

96-75 Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996
96-74 Veterans' Day and Thanksgiving Day: Trade Date--Settlement Date Schedule
96-73 Members Reminded to Report Executive Representative and Address Changes
96-72 NASD Regulation Computerized Delivery Site Transition to Sylvan Continues
96-71 Broker/Dealer and Agent Renewals for 1997
96-70 NASD Reminds Members of Prohibition Against Commercial Use of Information Filed Under the Federal Election Campaign Act
96-69 Industry/Regulatory Council on Continuing Education Issues Update on the Status of the Securities Industry Continuing Education Program
96-68 NASD Solicits Member Comment on Proposed Rules Relating to Prospectus Disclosure of Cash and Non-Cash Compensation for the Sale of Investment Company Securities
96-67 Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
96-66 SEC Expands Scope of Conduct Rules and Other NASD Rules to Government Securities; Approves New Suitability Interpretation
96-65 New SEC Rules on Order Handling and Execution of Customer Orders
Disciplinary and Other NASD Actions
 

September 1996

96-64 Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
96-63 Columbus Day: Trade Date--Settlement Date Schedule
96-62 SOES Tier Levels Set to Change October 1, 1996
96-61 NASD Regulation Computerized Delivery Site Transition Continues
96-60 Clarification of Members' Suitability Responsibilities Under NASD Rules with Special Emphasis on Member Activities in Speculative and Low-Priced Securities
96-59 NASD Solicits Member Comment on Proposed Rule Governing Tape Recording of Telephone Conversations:
Comment Period Expires October 31, 1996
96-58 Approval of Amendments that Require Members to Provide Information to Other Regulators for Regulatory Purposes
Disciplinary and Other NASD Actions
 

August 1996

96-57 Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
96-56 Labor Day: Trade Date--Settlement Date Schedule
96-55 NASD Regulation Offers Software to Help Members Comply with Continuing Education Requirements
96-54 NASD Regulation Reminds Members of Reporting Obligations of MSRB Rules G-37 and G-38, and Announces Sanction Guidelines for Failure to Report Form G-37/G-38
96-53 Approval of Amendments to the Definitions of Bona Fide Independent Market and Bona Fide Independent Market Maker
96-52 NASD Solicits Member Comments on Proposed Rules Relating to the Sale of Variable Life Insurance Contracts and Variable Annuity Contracts
Disciplinary and Other NASD Actions
 

July 1996

96-51 Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
96-50 Supervisory and Other Obligations Related to Use of Electronic Media
96-49 Members Reminded to Report Address, Contact Changes to NASD
96-48 New London Training Center; Registered Representatives in England, Scotland, and Wales Must Comply with Continuing Education Requirements
96-47 NASD Regulation, Inc., Expanding Computerized Delivery Sites
96-46 CRD Disclosure Conversion
96-45 NASD Appoints Ombudsman
96-44 NASD Interprets NASD Rule 2110 and Files Telemarketing Rule Changes with SEC
96-43 SEC Approves NASD By-Laws Amendments Regarding Gross Revenue
Disciplinary and Other NASD Actions
 

June 1996

96-42 Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
96-41 Independence Day: Trade Date--Settlement Date Schedule
96-40 SOES Tier Levels Set to Change July 1, 1996
96-39 Request for Comments on Proposed Changes to Regulations G, T, and U
96-38 Treasury Issues Letter Clarifying Recordkeeping Requirements for Forward Settling Repurchase Agreement Transactions
96-37 Fed Approves Amendments to Regulation T
96-36 SEC Approves Amendment to the Primary Market-Maker Standards
Disciplinary and Other NASD Actions
 

May 1996

96-35 Mail Vote--NASD Solicits Member Vote on Amendments to the NASD By-Laws to Make By-Laws Consistent with the "Plan of Allocation and Delegation of Functions by NASD to Subsidiaries"; Last Voting Date: June 22, 1996
96-34 Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
96-33 NASD Clarifies Rules Governing RR/IAs
96-32 Members Reminded to Use Best Practices When Dealing in Speculative Securities
Disciplinary and Other NASD Actions
 

April 1996

96-31 Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
96-30 Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
96-29 Memorial Day: Trade Date-Settlement Date Schedule
96-28 NASD Revises Sanction Guidelines
96-27 Significant Disciplinary Actions Prompt Reentry into the Regulatory Element of the Continuing Education Program
96-26 SEC Approves Schedule C Changes Regarding Use of the Modified Series 7 to Qualify Canadian Registrants;
Effective Date: April 15, 1996
96-25 SEC Approves NASD Manual Revisions; Publication Scheduled for May
96-24 SEC Approves Rule Mandating TIF Immobilization;
Effective Date: July 1, 1996
Disciplinary and Other NASD Actions
 

March 1996

96-23 Treasury Issues Updated List of Specially Designated Nationals and Blocked Persons
96-22 Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
96-21 Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996
96-20 Good Friday: Trade Date--Settlement Date Schedule
96-19 Annual Check List of NASD Notices to Members
96-18 Compliance Desk Will Help Members Report Free-Riding and Witholding Information to NASD; Workshops Scheduled for Late April, Early May
96-17 SOES Tier Levels Set to Change April 1, 1996
96-16 NASD Adds Remote Sites to Deliver Training and Exams
96-15 SEC Approves NASD Proposals to Add Two New Options Position-Limit Tiers and Extend and Expand NASD's Equity Option Position-Limit Hedge Exemption Pilot Program
96-14 SEC Approves Amendments to Sections 1(a)(v) and 73 of NASD Uniform Practice Code Relating to the Use of Standardized Limited Partnership Transfer Forms
Disciplinary and Other NASD Actions
 

February 1996

96-13 Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996
96-12 Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996
96-11 Presidents' Day: Trade Date--Settlement Date Schedule
96-10 Expanded Limit-Order Protection Rule Gets Further Clarification by NASD
96-09 SEC Approves NASD Proposal Relating to Third-Market Trading in IPOs of Exchange-Listed Securities
96-08 SEC Approves Amendments to Section 59 of the Uniform Practice Code Clarifying Delivery Deadlines That May be Specified in Buy-In Notices
Disciplinary and Other NASD Actions
 

January 1996

96-07 Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996
96-06 Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995
96-05 CRD Redesign Requires Actions by Members
96-04 1995-96 Renewal Rosters and Final Adjusted Invoices
96-03 NASD Files with the SEC Proposed Rule Governing Members Operating on Bank Premises
96-02 SEC Approves Amendments to Article II, Section 4 of the NASD By-Laws to Include Statutory Disqualification Provisions Adopted by Congress
96-01 Mail Vote--NASD Solicits Member Vote on Amendments to the NASD By-Laws to Require Members to File Required Documents Electronically;
Last Voting Date: February 16, 1996
Disciplinary and Other NASD Actions