NASD Notice to Members 96-19 - March 1996

Annual Check List of NASD Notices to Members

Full Notice Text

The NASD® published the following Notices to Members during 1995. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire year's Notices, is also available at $150. 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 for bound volumes can be made by telephoning (301) 590-6578, Monday to Friday, 9 a.m. to 5 p.m., Eastern Time.



Notice Date Topic Page
 
95-1 1/95 NASD Solicits Comment On NASD Mediation Program And Draft Mediation Procedures; Comment Period Expires March 1, 1995 1
95-2 1/95 SEC Adopts Changes To Rule 10b-10; Defers Action On Proposed New Rule 15c2-13 11
95-3 1/95 Annual Check List Of NASD Notices to Members 25
95-4 1/95 Presidents' Day: Trade Date-Settlement Date Schedule 31
95-5 1/95 Nasdaq National Market Additions, Changes, And Deletions As Of December 28, 1994 33
95-6 1/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 29, 1994 37
95-7 2/95 SEC Approves NASD Proposal Amending Free-Riding And Withholding Interpretation Provisions 55
95-8 2/95 Short-Interest Reporting Requirements Revision For Exchange-Listed Securities; Effective March 1995 67
95-9 2/95 NASD Qualification Examinations Revisions; Effective Date: May 1, 1995 69
95-10 2/95 1994-95 Renewal Rosters And Final Adjusted Invoices 71
95-11 2/95 Nasdaq National Market Additions, Changes, And Deletions As Of January 26, 1995 73
95-12 2/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 30, 1995 75
95-13 3/8/95 SEC Approves Amendments Relating To Continuing-Education Requirements 91
95-14 3/95 Revised General Securities Registered Representative Examination (Series 7) Effective Date: May 1, 1995 95
95-15 3/95 Treasury Requests Comments On Large Position Recordkeeping And Reporting For Government Securities; Comment Period Expires: April 24, 1995 97
95-16 3/95 Predispute Arbitration Clauses In Customer Agreements 101
95-17 3/95 Good Friday: Trade Date-Settlement Date Schedule 103
95-18 3/95 Nasdaq National Market Additions, Changes, And Deletions As Of February 23, 1995 105
95-19 3/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 28, 1995 109
95-20 3/21/95 NASD Solicits Member Comment On Proposals For Comprehensive Improvements To The Regulation And Operation Of The Nasdaq Stock Market; Comment Period Expires April 21, 1995 127
95-21 4/95 Request For Comments On Proposed Suitability Obligations To Institutional Customers Interpretations; Comment Period Expires: May 17, 1995 131
95-22 4/95 SEC Approves Amendments To Article III, Section 44 Of The NASD Rules Of Fair Practice About Filing Requirements For Modified Guaranteed Annuity And Life Insurance Contracts 135
95-23 4/95 SEC Adopts Amendments To Rule 15c2-12, Municipal Securities Disclosure 137
95-24 4/95 SEC Approves Recordkeeping And Reporting Requirements For Trading Systems Operated By Broker/Dealers 161
95-25 4/95 SEC Approves NASD And Options Exchanges' Proposal Regarding Information Storage 175
95-26 4/95 Conversion To T+3 Settlement, Reg. T, And SEC Rule 15c3-3(m), And Ex-Dividend Schedule 177
95-27 4/95 NASD Introduces Revised Free-Riding Questionnaire And Form FR-1 181
95-28 4/95. Treasury Provides Government Securities Broker/Dealers With Exemptive Relief In Calculating Haircuts For Options On Certain Mortgage-Backed Securities 191
95-29 4/95 Treasury Approves Amendments To Capital Requirements Under The Government Securities Act Of 1986 193
95-30 4/95 Memorial Day: Trade Date-Settlement Date Schedule 195
95-31 4/95 Nasdaq National Market Additions, Changes, And Deletions As Of March 27, 1995 97
95-32 4/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 29, 1995 201
95-33 5/95 Mail Vote - NASD Solicits Member Vote On Measures To Discipline Members And Registered Persons For Failing To Honor Arbitration And Mediation Settlement Agreements; Last Voting Date: June 15, 1995 211
95-34 5/95 Survey Of Members That Transact Business In PORTAL Securities 215
95-35 5/95 Continuing Education Program Update: Regulatory Element Questions And Answers 217
95-36 5/95 SEC Approves T+3-Related Amendments To The NASD Uniform Practice Code And Rules Of Fair Practice 229
95-37 5/95 SEC Approves NASD Proposal Amending The Foreign-Associate Provisions Of Schedule C To The NASD By-Laws 233
95-38 5/95 Treasury Adopts Amendments To Form G-405 And Form G-FIN-4 235
95-39 5/95 Members Reminded To Report Address, Contact Changes To The NASD 237
95-40 5/95 Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1995 239
95-41 5/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 27, 1995 243
95-42 5/24/95 SEC Approves Amendments To Prospectus Delivery Requirements To Accommodate T+3 Settlement 261
95-43 6/5/95 SEC Approves Expanded Limit-Order Protection Rule 305
95-44 6/95 Request For Comments On Proposed Amendments To The Exception To The Qualified Independent Underwriter Requirement In Schedule E To The NASD By-Laws; Comment Period Expires August 1, 1995 313
95-45 6/95 SEC Approves Amendments To NASD Interpretation Of Forwarding Of Proxy And Other Materials Under Article III, Section 1 Of The Rules Of Fair Practice 317
95-46 6/95 SEC Approves Amendment To UPC To Add New Section 72 321
95-47 6/95 SEC Approves NASD Proposal To Raise Position Limits For Certain Equity Securities Not Subject To Standardized Options Trading 323
95-48 6/95 Treasury Approves Risk Assessment Rules For Government Securities Broker/Dealers 327
95-49 6/95 NASD Clarifies Use Of Bank And Financial Institution Logos And Names 329
95-50 6/95 Availability Of New Qualification Examination For Registered Options Limited Representative (Series 42) 331
95-51 6/95 Independence Day: Trade Date-Settlement Date Schedule 333
95-52 6/95 Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1995 335
95-53 6/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 31, 1995 339
95-54 7/95 SEC Approves Amendments To Article III, Section 21 Of The NASD Rules Of Fair Practice Relating To Cold-Calling Requirements 349
95-55 7/95 SEC Approves Depository Eligibility Requirements For Nasdaq Securities 351
95-56 7/95 NASD Files With The SEC Proposals Related To Non-Cash Incentive Programs, Disclosure Of Cash Compensation, And Direct Payments To Associated Persons 355
95-57 7/95 Nasdaq National Market Additions, Changes, And Deletions As Of June 27, 1995 365
95-58 7/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 31, 1995 369
95-59 7/25/95 Temporary Fee Increase For Agent Registration Filings; Effective August 1, 1995 383
95-60 7/27/95 NASD Solicits Member Comment On Refined N * Aqcess Proposal; Comment Period Expires August 30, 1995 385
95-61 8/95 Mail Vote-NASD Solicits Member Vote On Amendments To The By-Laws To Include Statutory Disqualification Provision Adopted By Congress; Last Voting Date: September 15, 1995 395
95-62 8/95 SEC Approves New NASD Mediation Rules That Take Effect August 1, 1995 399
95-63 8/95 SEC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice Relating To Freely Tradable Direct Participation Program Securities 405
95-64 8/95 EC Approves Amendments To Article III, Section 34 Of The NASD Rules Of Fair Practice And Part I Of Schedule D To The NASD By-Laws Relating To Limited Partnership Rollup Transactions 407
95-65 8/95 NASD Files NASD Manual Revisions With The SEC For Review And Approval 409
95-66 8/95 PROCTOR Adds PRO System To Automate Regulatory Element Training 413
95-67 8/95 NASD Clarifies The Expanded Limit-Order Protection Interpretation 415
95-68 8/95 Fed. Proposes Changes To Reg. T; Comment Period Expires: August 28, 1995 419
95-69 8/95 Treasury Amends Bank Secrecy Act; Requires Additional Recordkeeping Requirements For Wire Transfers 439
95-70 8/95 Labor Day: Trade Date-Settlement Date Schedule 443
95-71 8/95 Nasdaq National Market Additions, Changes, And Deletions As Of July 27, 1995 445
95-72 8/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 28, 1995 449
95-73 9/95 NASD Requests Comment On Member Obligations To File Certain Exchange Offers That Result In Public Distributions; Comment Period Expires October 15, 1995 461
95-74 9/95 SEC Approves Amendments To Advertising And Sales Literature Filing And Review Requirements 467
95-75 9/95 SEC Approves Amendment Regarding Trading In Anticipation Of The Issuance Of A Research Report 473
95-76 9/95 SEC Permits NASD To Discipline Members And Associated Persons Who Fail To Honor Arbitration Or Mediation Settlement Agreements 477
95-77 9/95 Columbus Day: Trade Date-Settlement Date Schedule 481
95-78 9/95 Nasdaq National Market Additions, Changes, And Deletions As Of August 21, 1995 483
95-79 9/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 25, 1995 487
95-80 9/26/95 NASD Further Explains Members' Obligations And Responsibilities Regarding Mutual Funds Sales Practices 501
95-81 9/26/95 SEC Approves Rules For Reporting Customer Complaint Information 505
95-82 10/95 SEC Approves NASD Rules Concerning Index, Currency, And Currency Index Warrants 509
95-83 10/95 SEC Approves Rules Permitting Arbitration Participants To Seek Injunctive Relief From Arbitrators 519
95-84 10/95 Rudman Committee Releases Summary Of Conclusions And Recommendations 525
95-85 10/95 Clarification Of NASD Notices to Members 95-16 And NYSE Information Memorandum 95-16: Content And Enforcement Of Provisions In Customer Agreements And Predispute Arbitration Clauses 533
95-86 10/95 NASD Reminds Members About Continuing Education Program Regulatory Element 537
95-87 10/95 Confidentiality Clauses In Settlement Agreements 543
95-88 10/95 Treasury Delays Effective Date Of Wire Transfer Recordkeeping Requirements Until April 1, 1996; Proposes Clarifying Amendments 545
95-89 10/95 Broker/Dealer And Agent Renewals For 1996; Dues Must Be Paid By December 15, 1995 547
95-90 10/95 Thanksgiving Day: Trade Date-Settlement Date Schedule 551
95-91 10/95 SOES Tier Levels Set To Change November 13, 1995 553
95-92 10/95 Nasdaq National Market Additions, Changes, And Deletions As Of September 20, 1995 565
95-93 10/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 28, 1995 569
95-94 10/27/95 NASD Requests Comment On Proposed Redefinition Of Gross Revenue For Assessment Purposes; Comment Period Expires November 27, 1995 581
95-95 11/95 SEC Approves Amendments To The Corporate Financing Rule Relating To Rights Of First Refusal 583
95-96 11/95 Continuing Education Rosters Now Available To Member Firms 587
95-97 11/95 NASD Reminds Members About Treasury's Foreign Assets Control Regulations 589
95-98 11/95 Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule 597
95-99 11/95 Nasdaq National Market Additions, Changes, And Deletions As Of October 20, 1995 599
95-100 11/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 27, 1995 603
95-101 12/11/95 Mail Vote - NASD Solicits Member Vote On Amendments To The NASD By-Laws To Reconfigure The NASD Board And Establish A National Nominating Committee; Last Voting Date: January 12, 1996 631
95-102 12/11/95 Overview Of Planned Changes To Disciplinary And Enforcement Procedures 639
95-103 12/95 SEC Approves A Policy That Delegates Authority To The NASD Staff And The NASD Fixed Income Committee To Review Member Requests For Exemptions From MSRB Rule G-37(b) 645
95-104 12/95 Expanded Sign-In Procedures At The PROCTOR Centers, Effective February 1, 1996; And PROCTOR Adds Remote Delivery Sites 649
95-105 12/95 Treasury Offers Revised Currency Transaction Report Form 651
95-106 12/95 NASD 1996 Holiday Schedule 659
95-107 12/95 Trade Date-Settlement Date Schedule For 1996 661
95-108 12/95 Nasdaq National Market Additions, Changes, And Deletions As Of November 20, 1995 667
95-109 12/95 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1995 671
 
* Pursuant to Sections 220.8(b)(1) and (4) of Regulation T of the Federal Reserve Board, a broker/dealer must promptly cancel or otherwise liquidate a customer purchase transaction in a cash account if full payment is not received within five (5) business days of the date of purchase or, pursuant to Section 220.8(d)(1), make application to extend the time period specified. The date by which members must take such action is shown in the column entitled "Reg. T Date."