Regulation

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 MediaSource^SM, 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."