1999 Notices to Members

 
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December 1999

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99-107 Fixed Income Pricing System Additions, Changes, and Deletions as of October 22, 1999
Posted on: 12/10/1999
99-106 NASD 2000 Holiday Schedule
Posted on: 12/10/1999
99-105 Trade Date--Settlement Date Schedule for 2000
Posted on: 12/10/1999
99-104 Maximum SOES Order Sizes Set to Change January 10, 2000
Posted on: 12/10/1999
99-103 SEC Approves Rule Change Relating to Sales Charges for Investment Companies and Variable Contracts; Effective Date:
April 1, 2000
Posted on: 12/10/1999
99-102 NASD Announces Changes to Regulation T and SEC Rule 15c3-3 Extension Request Reason Codes;
Effective Date: February 7, 2000
Posted on: 12/10/1999
99-101 NASD Regulation to Launch Additional Form Filing Regulatory Applications
Posted on: 12/10/1999
99-100 SEC Approves Creation of Dispute Resolution Subsidiary and Related By-Laws And Rule Changes
Posted on: 12/10/1999
99-099 NASD Regulation Reiterates Obligations to Display Customer Limit Orders Pursuant to SEC Rule 11Ac1-4
Posted on: 12/10/1999
99-098 NASD Regulation Reiterates That Members Must Comply With All Short Sale Rules When Receiving Orders Through Electronic Order Systems or the Internet and Reiterates the Operation of the Affirmative Determination Rule
Posted on: 12/10/1999
99-097 NASD Office of the Ombudsman Clarifies its Role
Posted on: 12/10/1999
99-096 SEC Approves New Arbitration Disclosure Rule And Procedures for Employment Arbitration;
Effective Date: January 18, 2000
Posted on: 11/30/1999
For Your Information
Posted on: 12/10/1999
Disciplinary and Other NASD Actions
Posted on: 12/15/1999
 

November 1999

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99-95 NASD Announces Changes to the By-Laws Associated Person Definition; Effective Date: December 1, 1999
Posted on: 11/10/1999
99-94 Christmas Day: Trade Date--Settlement Date Schedule
Posted on: 11/10/1999
99-93 Fixed Income Pricing System Additions, Changes, and Deletions as of September 22, 1999
Posted on: 11/10/1999
99-92 SEC, NASD Regulation, and NYSE Issue Joint Statement on Broker/Dealer Risk Management Practices
Posted on: 11/10/1999
99-91 NASD Revises and Replaces Notice to Members 99-59 and Issues New Censure Policy
Posted on: 11/10/1999
99-90 NASD Regulation Announces New Discovery Guide to be Used in Arbitration Proceedings
Posted on: 10/25/1999
Disciplinary and Other NASD Actions
Posted on: 11/15/1999
 

October 1999

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99-89 NASD Informs Members of Election Results for District Committees and District Nominating Committees
Posted on: 10/11/1999
99-88 Veterans Day and Thanksgiving Day: Trade Dates--Settlement Dates Schedule
Posted on: 10/11/1999
99-87 Fixed Income Pricing System Additions, Changes, and Deletions as of August 23, 1999
Posted on: 10/11/1999
99-86 NASD Regulation Adopts Policy Regarding Imposition and Collection of Monetary Sanctions
Posted on: 10/11/1999
99-85 Broker/Dealer and Agent Renewals for 2000; CRD Fee Changes
Posted on: 10/11/1999
99-84 NASD to Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Posted on: 9/28/1999
Disciplinary and Other NASD Actions
Posted on: 10/15/1999
 

September 1999

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99-83 Columbus Day: Trade Date--Settlement Date Schedule
Posted on: 9/10/1999
99-82 Fixed Income Pricing System Additions, Changes, and Deletions as of July 22, 1999
Posted on: 9/2/1999
99-81 NASD Requests Comment on Proposed Salesperson Compensation Rules;
Comment Period Expired October 29, 1999
Posted on: 9/2/1999
99-80 Maximum SOES Order Sizes Set To Change October 1, 1999
Posted on: 9/10/1999
99-79 NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications With the Public;
Comment Period Expired October 29, 1999
Posted on: 9/2/1999
99-78 Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Posted on: 9/10/1999
99-77 NASD Regulation Modifies Default Decision Procedures
Posted on: 9/10/1999
99-76 Update on OTC Bulletin Board Eligibility Rule
Posted on: 8/26/1999
99-75 Series 7 Examination Fee Increase Effective
September 15, 1999
Posted on: 8/18/1999
For Your Information
Posted on: 9/10/1999
Disciplinary and Other NASD Actions
Posted on: 9/15/1999
 

August 1999

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99-74 Nominees for District 10 District Committee and District Nominating Committee
Posted on: 8/11/1999
99-73 NASD Requests Comment on Proposed Amendments to the Code of Procedure and Other Provisions;
Comment Period Expired September 13, 1999
Posted on: 8/10/1999
99-72 Fixed Income Pricing System Additions, Changes, and Deletions as of June 22, 1999
Posted on: 8/10/1999
99-71 Labor Day: Trade Date--Settlement Date Schedule
Posted on: 8/10/1999
99-70 NASD Regulation Announces New Web-Based FOCUS Filing System-to be Available for September 1999 Filings
Posted on: 8/6/1999
99-69 NASD Regulation Requests Comment on Proposed Trading Halt Rules;
Comment Period Expired September 30, 1999
Posted on: 8/10/1999
99-68 NASD Regulation Announces its Policy on Enforcement of Disciplinary Sanctions During the Pendency of Circuit Court Appeals
Posted on: 8/10/1999
99-67 NASD Requests Comment on Proposed Amendments to Membership Rules;
Comment Period Expired September 13, 1999
Posted on: 8/10/1999
99-66 SEC Approves Prior Reference Price Trade Modifier, Changes to Bunching Rules, and Riskless Principal Trade-Reporting Rules for the Third Market
Posted on: 8/10/1999
99-65 SEC Approves Rule Changes to NASD Trade-Reporting Rules for Riskless Principal Transaction in Nasdaq and OTC Securities
Posted on: 8/6/1999
99-64 NASD Informs Members of Upcoming Nomination Procedures for Industry Member Vacancies on the National Adjudicatory Council
Posted on: 8/4/1999
99-63 SEC Approves and Adopts Revised Forms and Electronic Filing Requirement; New Member Applicants Should Continue to File Paper Forms
Posted on: 8/2/1999
For Your Information
Posted on: 8/10/1999
Disciplinary and Other NASD Actions
Posted on: 8/16/1999
 

July 1999

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99-62 Nominees For District Committees And District Nominating Committees
99-61 SEC Approves Changes to Rule 4613--Firm Quotation Requirements;
Effective Date: August 2, 1999
99-60 Fixed Income Pricing System Additions, Changes, and Deletions as of May 24, 1999
99-59 NASD Will no Longer Impose Censures for Some Violations
99-58 SEC Grants Exemption From Rule 15c2-11 for Securities Being Removed From The OTCBB Pursuant to The NASD Eligibility Rule
99-57 SEC Approves Rule Amendments Governing Clearing Firms And Their Introducing Firm Clients' Relationship;
Effective Date: July 19, 1999
99-56 NASD Regulation Announces CRD "System Transition Period" Immediately Preceding The Deployment Of Web CRD
99-55 Questions and Answers Relating to Non-Cash Compensation Rules
99-54 NASD Regulation Seeks Comment on Issues Relating to Arbitrator-Ordered Expungements of Information From The Central Registration Depository;
Comment Period Expired August 31, 1999
99-53 NASD Regulation Offers Guidance to Members Forwarding Mini Tender Offers to Their Customers
For Your Information
Disciplinary and Other NASD Actions
 

June 1999

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99-52 Mail Vote--NASD Solicits Vote on Amendments to NASD By-Laws to The Associated Person Definition;
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
Last Voting Date: July 16, 1999
99-51 NASD Regulation Requests Comment on Requiring Chief Compliance Officers to be Registered;
Comment Period Expired July 16, 1999
99-50 SEC Approves Amendments To Corporate Financing Rule Filing Fees
99-49 NASD Regulation Provides Interpretive Guidance on Registration Requirements
99-48 Independence Day: Trade Date--Settlement Date Schedule
99-47 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 22, 1999
99-46 Maximum SOES Order Sizes Set to Change July 1, 1999
99-45 NASD Provides Guidance on Supervisory Responsibilities
99-44 SEC Approves Interpretations And Allocation Chart For Proprietary Accounts Of Introducing Broker/Dealers
99-43 Update on OTC Bulletin Board Eligibility Rule
99-42 NASD Offers Guidance on Complying with Notice Requirements of New SEC Rule Regarding Alternative Trading Systems
99-41 NASD Announces New Electronic Filing System for Corporate Financing Filings
99-40 NASD Informs Members of Upcoming District Committee and District Nominating Committee Elections
For Your Information
Disciplinary and Other NASD Actions
 

May 1999

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99-39 The NASD Prepares for Move to Decimals
99-38 Fixed Income Pricing System Additions, Changes, and Deletions as of March 23, 1999
99-37 NASD Reminds Members of Their Obligations Regarding Electronic Distribution of Nasdaq and OTC Market Data
99-36 Members Reminded to Report Executive Representative and Address Changes
99-35 The NASD Reminds Members of Their Responsibilities Regarding the Sales of Variable Annuities
99-34 NASD Offers Guidance on Complying with New SEC Rule Regarding Alternative Trading Systems; Rule Effective April 21, 1999
Year 2000 Update
Disciplinary and Other NASD Actions
 

April 1999

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99-33 NASD Regulation Advises Members About Maintenance Margin Requirements for Certain Volatile Stocks and Solicits Comment on Margin Practices;
Comment Period Expired May 31, 1999
99-32 NASD Regulation Requests Comment on Proposed Rules Regarding Approval Procedures for Day-Trading Accounts, Including Appropriateness Determinations, and Disclosure of Risks of Day-Trading Activities;
Comment Period Expired May 31, 1999
99-31 Memorial Day: Trade Date--Settlement Date Schedule
99-30 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 19, 1999
99-29 SEC Approves Changes to Clearly Erroneous Trade Adjudication Procedures; Changes Effective April 26, 1999
99-28 NASD Reminds Members of Obligations Relating to the Short-Sale Rule
99-27 Order Audit Trail System Phase 2 Firms Required to Register; Firms Should Register by April 1, 1999
99-26 NASD Will Terminate Form 211 Applications if Applicants do not Respond to NASD Deficiency Letters Within 180 Calendar Days
Year 2000 Update
For Your Information
Disciplinary and Other NASD Actions
 

March 1999

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99-25 Good Friday: Trade Date--Settlement Date Schedule
99-24 Fixed Income Pricing System Additions, Changes, and Deletions as of January 21, 1999
99-23 SEC Approves New Arbitration Fees; Effective March 18, 1999
99-22 Maximum SOES Order Sizes Set to Change April 1, 1999
99-21 The Nasdaq Stock Market Eliminates the SOES Five-Minute Presumption
99-20 SEC Approves Rule Change Increasing Position Limits on Standardized Equity Options; NASD Reminds Members of Their Reporting Obligations When Trading Options
Year 2000 Update
For Your Information
Disciplinary and Other NASD Actions
 

February 1999

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99-19 Fixed Income Pricing System Additions, Changes, and Deletions as of December 22, 1998
99-18 Annual Checklist of NASD Notices to Members
99-17 SEC Approves Amendments Regarding Application of the Corporate Financing Rule to Certain Offerings by Charitable Organizations
99-16 SEC Approves Changes to Rules Regarding Membership and Registration; Investigation and Sanctions; and Conduct and Code of Procedure
99-15 SEC Approves Rule Amendments Limiting Quotations on OTC Bulletin Board to Reporting Securities
99-14 NASD Grants Exemptive Relief Under MSRB Rule G-37(i)
99-12 NASD Regulation Issues Guidance Concerning the Operation of Automated Order Execution Systems During Turbulent Market Conditions
99-11 NASD Regulation Issues Guidance Regarding Stock Volatility
99-10 NASD Guidelines for Compliance with New Requirements for Non-California Attorneys Representing Parties in NASD Arbitrations in California
99-09 NASD Regulation Imposes Moratorium on Arbitrator-Ordered Expungements of Information from the Central Registration Depository
Year 2000 Update
Disciplinary and Other NASD Actions
 

January 1999

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99-13 NASD Alerts Members to Year 2000 Mandatory Testing Activities
99-08 Martin Luther King, Jr. Day and Presidents Day: Trade Date--Settlement Date Schedule
99-07 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 23, 1998
99-06 1998-1999 Renewal Rosters and Final Adjusted Invoices Market-Wide Trading Halts
99-05 SEC Issues Guidance on Handling Customer Orders During Market-Wide Trading Halts
99-04 Revised OATS Reporting Technical Specifications Released
99-03 SEC Approves Rule Amendments Requiring Review of Incoming, Written Correspondence; Effective March 15, 1999
99-02 NASD Regulation Withdraws Risk Disclosure Proposal
99-01 Office of Disciplinary Affairs to Authorize All Enforcement Actions
Year 2000 Update
For Your Information
Disciplinary and Other NASD Actions