1997 Notices to Members

 
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December 1997

97-97 Mail Vote NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts; And For Other Purposes;
Last Voting Date: January 30, 1998
97-96 Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
97-95 Fixed Income Pricing System Additions, Changes, and Deletions as of November 21, 1997
97-94 NASD 1998 Holiday Schedule
97-93 Trade Date Settlement Date Schedule for 1998
97-92 NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices to Members And Regulatory & Compliance Alert;
Comment Period Expired January 31, 1998
97-91 NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
97-90 SOES Tier-Size Levels Set To Change January 1, 1998
97-89 SEC Approves Bank Broker/Dealer Rule; Effective February 15, 1998
97-88 SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority; Effective Immediately
97-87 Treasury Updates List of Specially Designated Persons and Entities
Survey
For Your Information
Disciplinary and Other NASD Actions
 

November 1997

97-86 Nominees for NASD Board of Governors
97-85 Fixed Income Pricing System Additions, Changes, and Deletions as of October 24, 1997
97-84 Christmas Day And New Years Day: Trade Date Settlement Date Schedule
97-83 Exemption from SEC Rule 15c2-11 for Certain Securities Delisted from Nasdaq
97-82 SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers; Effective December 15, 1997
97-81 NASD Regulation Requests Comment on Proposed Amendments Relating to Compensation for Sale of Public Offerings of Direct Participation Programs;
Comment Period Expired January 9, 1998
97-80 SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments; Effective Immediately
97-79 NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements;
Comment Period Expired December 1, 1997
97-78 SEC Approves Rule Relating To Distribution Of Information Concerning NASD's Public Disclosure Program
97-77 NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 and U-5, Qualified Immunity, And Advance Employee Notice;
Comment Period Expired December 31, 1997
97-76 Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
For Your Information
Disciplinary and Other NASD Actions
 

October 1997

97-75 Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board;
Last Voting Date: November 13, 19971 (Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.)
97-74 SEC Approves Amendments To Legal Definition Of Short Sale
97-73 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
97-72 Veterans Day And Thanksgiving Day: Trade Date Settlement Date Schedule
97-71 NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
97-70 Broker-Dealer And Agent Renewals For 1998
97-69 No Notice has been designated as 97-69
97-68 SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997
97-67 NASD Regulation Institutes Firm Quote Compliance
For Your Information
Disciplinary and Other NASD Actions
 

September 1997

97-66 Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
97-65 Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages
97-64 Fixed Income Pricing System Additions, Changes, and Deletions as of August 22, 1997
97-63 Columbus Day: Trade Date Settlement Date Schedule
97-62 SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement of SEC Fee Rate Algorithm
97-61 SOES Tier Size Levels Set to Change October 1, 1997
97-60 SEC Approves New Procedures for Granting Exemptions to NASD Rules
97-59 NASD Regulation Requests Comment on Injunctive Relief and Expedited Proceedings;
Comment Period Expired October 31, 1997
97-58 NASD Regulation Requests Comment on Proposed Interpretive Material 1031 Regarding Cold Calling Activity;
Comment Period Expired October 31, 1997
97-57 NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
97-56 Intermarket Surveillance Group Issues New Automated Reporting Requirements
For Your Information
Disciplinary and Other NASD Actions
 

August 1997

97-55 New Membership Application Rules, New Code of Procedure, and Other New Disciplinary Rules
97-54 Fixed Income Pricing System Additions, Changes, and Deletions as of July 25, 1997
97-53 Labor Day: Trade Date Settlement Date Schedule
97-52 SEC Approves Amendments Relating to Market Maker Registration and Primary Market Maker Eligibility by Managers And Co-Managers of Secondary Offerings
97-51 NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
97-50 NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives;
Comment Period Expired October 15, 1997
97-49 Compliance with SEC Order Handling Rules and Nasdaq Trading Rules
97-48 NASD Regulation Requests Comment on Amendments to Rules Governing Sale and Distribution of Investment Company Shares and Variable Insurance Products;
Comment Period Expired September 29, 1997
97-47 NASD Regulation Requests Comment on Presentation of Related Performance Information;
Comment Period Expired September 29, 1997
97-46 SEC Approves Rule Prohibiting Payments for Market Making
97-45 Corrected List of SOES Tier Size Levels Effective July 1, 1997
For Your Information
Disciplinary and Other NASD Actions
 

July 1997

97-44 Fixed Income Pricing System Additions, Changes, and Deletions as of June 20, 1997
97-43 SEC Amends Broker/Dealer Record Retention Rule
97-42 SEC Approves Amendments Relating To The Release Of Disciplinary Information
Disciplinary and Other NASD Actions
 

June 1997

97-41 NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market;
Comment Period Expired July 15, 1997
97-40 Fixed Income Pricing System Additions,Changes, And Deletions As Of May 22, 1997
97-39 Independence Day: Trade Date Settlement Date Schedule
97-38 SOES Tier Levels Set to Change July 1, 1997
97-37 NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public;
Comment Period Expired July 15, 1997
97-36 NASD Interpretive Letters
97-35 Treasury's Foreign Assets Control Office Updates List of Specially Designated Persons and Entities
97-34 Depository Trust Company to Launch Initial Public Offering Tracking System
For Your Information
Disciplinary and Other NASD Actions
 

May 1997

97-33 Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1997
97-32 NASD Regulation Files Proposed Changes to Disciplinary, Election, and Membership Procedures with the SEC
97-31 NASD Reminds Registered Persons of Continuing Obligation to Update NASD Records
97-30 NASD Regulation Requests Comments on Amendments to the Free-Riding and Withholding Interpretation;
Comment Period Expired June 16, 1997
97-29 NASD Regulation Discusses Member Disclosure Obligations and Requests Comment on the Appropriateness of Adopting a Rule Governing Risk Disclosure;
Comment Period Expired June 30, 1997
97-28 Approval f Investment Company Rankings Amendments
97-27 Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
97-26 NASD Regulation Files Amendments to Bank Broker/Dealer Rule with the SEC
97-25 NASD Interpretive Position NASD Rule 3050 Transactions for or By Associated Persons
97-24 "Limited Edition" Treasury Securities
97-23 1997 Direct Participation Program Directory
For Your Information
Disciplinary and Other NASD Actions
 

April 1997

97-22 Fixed Income Pricing System Additions, Changes, and Deletions as of March 24, 1997
97-21 Memorial Day: Trade Date Settlement Date Schedule
97-20 Members Reminded to Report Executive Representative and Address Changes
97-19 NASD Regulation and New York Stock Exchange Memorandum Discusses Sweep Report and Provides Guidance on Heightened Supervision Recommendations
Disciplinary and Other NASD Actions
 

March 1997

97-18 Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 1997
97-17 SOES Tier Levels Set to Change April 1, 1997
97-16 NASD Updates Year 2000 Activities and Advises Members
97-15 SEC Approves Amendments to ACT Rules to Require Market Makers to Denote When They Have Effected an Exempt Short-Sale
97-14 NASD Files with the SEC Proposed Amendment to Regulate the Disclosure of Values for Illiquid Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements
97-13 Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
97-12 NASD Regulation Requests Comment on Proposed Rule Governing Use and Release of Customer Confidential Financial Information;
Comment Period Expired April 30, 1997
97-11 NASD Regulation Requests Comment on Proposed Rule Restricting Payment of Referral Fees by NASD Members;
Comment Period Expired April 30, 1997
97-10 SEC to Approve Amendments to NASD Rules to Facilitate Compliance with SEC Regulation M
97-09 Industry/Regulatory Council on Continuing Education Issues Continuing Education Program Firm Element Advisory
97-08 SEC Approves Quotation and Transaction Reporting of Direct Participation Programs
For Your Information
Disciplinary and Other NASD Actions
 

February 1997

97-07 Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 1997
97-06 Good Friday: Trade Date Settlement Date Schedule
97-05 Annual Check List of NASD Notices to Members
97-04 NASD Reminds Members About Treasury's Foreign Assets Control Regulations
For Your Information
Disciplinary and Other NASD Actions
 

January 1997

97-03 Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1996
97-02 Presidents' Day Trade Date Settlement Date
97-01 Approval of Telemarketing Amendments
For Your Information
Disciplinary and Other NASD Actions