Regulation
1996 Notices to Members
| January | February | March | April | May | June | July | August | September | October | November | December |
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 |
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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
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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
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96-82
NASD Solicits Comment on Proposed Rules Governing Supervision, Review, and Record Retention of Correspondence;
Comment Period Expires January 30, 1997
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| 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 |
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96-59
NASD Solicits Member Comment on Proposed Rule Governing Tape Recording of Telephone Conversations:
Comment Period Expires October 31, 1996
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| 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 |
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96-26
SEC Approves Schedule C Changes Regarding Use of the Modified Series 7 to Qualify Canadian Registrants;
Effective Date: April 15, 1996
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| 96-25 SEC Approves NASD Manual Revisions; Publication Scheduled for May |
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96-24
SEC Approves Rule Mandating TIF Immobilization;
Effective Date: July 1, 1996
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| 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 |
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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
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| Disciplinary and Other NASD Actions |