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January
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February
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March
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April
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May
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June
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July
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August
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September
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October
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November
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December
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| December 1996 |
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96-91
Fixed Income Pricing System Additions, Changes, and Deletions as of November 29, 1996
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96-90
Trade Date -- Settlement Date Schedule for 1997
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96-89
NASD 1997 Holiday Schedule
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96-88
SOES Tier Levels Set to Change January 2, 1997
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96-87
NASD Regulation PROCTOR Transition to Sylvan Continues
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96-86
NASD Regulation Reminds Members and Associated Persons That Sales of Variable Contracts are Subject to NASD Suitability Requirements
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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
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Disciplinary and Other NASD Actions
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For Your Information
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| November 1996 |
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96-80
SEC Requests Comments on Proposed Amendments to SEC Rules 17a-3 and 17a-4
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96-79
Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996
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96-78
Christmas Day And New Year's Day: Trade Date--Settlement Date Schedule
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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
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96-76
SEC Approves Amendment to IM-8310-2 Regarding the Availability of Disciplinary Complaints and Disciplinary Decisions Upon Request
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Disciplinary and Other NASD Actions
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| October 1996 |
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96-75
Fixed Income Pricing System Additions, Changes, and Deletions as of October 3, 1996
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96-74
Veterans' Day and Thanksgiving Day: Trade Date--Settlement Date Schedule
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96-73
Members Reminded to Report Executive Representative and Address Changes
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96-72
NASD Regulation Computerized Delivery Site Transition to Sylvan Continues
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96-71
Broker/Dealer and Agent Renewals for 1997
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96-70
NASD Reminds Members of Prohibition Against Commercial Use of Information Filed Under the Federal Election Campaign Act
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96-69
Industry/Regulatory Council on Continuing Education Issues Update on the Status of the Securities Industry Continuing Education Program
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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
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96-67
Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
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96-66
SEC Expands Scope of Conduct Rules and Other NASD Rules to Government Securities; Approves New Suitability Interpretation
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96-65
New SEC Rules on Order Handling and Execution of Customer Orders
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Disciplinary and Other NASD Actions
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| September 1996 |
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96-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 28, 1996
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96-63
Columbus Day: Trade Date--Settlement Date Schedule
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96-62
SOES Tier Levels Set to Change October 1, 1996
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96-61
NASD Regulation Computerized Delivery Site Transition Continues
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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
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Disciplinary and Other NASD Actions
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| August 1996 |
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96-57
Fixed Income Pricing System Additions, Changes, and Deletions as of July 30, 1996
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96-56
Labor Day: Trade Date--Settlement Date Schedule
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96-55
NASD Regulation Offers Software to Help Members Comply with Continuing Education Requirements
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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
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96-53
Approval of Amendments to the Definitions of Bona Fide Independent Market and Bona Fide Independent Market Maker
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96-52
NASD Solicits Member Comments on Proposed Rules Relating to the Sale of Variable Life Insurance Contracts and Variable Annuity Contracts
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Disciplinary and Other NASD Actions
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| July 1996 |
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96-51
Fixed Income Pricing System Additions, Changes, and Deletions as of June 28, 1996
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96-50
Supervisory and Other Obligations Related to Use of Electronic Media
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96-49
Members Reminded to Report Address, Contact Changes to NASD
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96-48
New London Training Center; Registered Representatives in England, Scotland, and Wales Must Comply with Continuing Education Requirements
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96-47
NASD Regulation, Inc., Expanding Computerized Delivery Sites
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96-46
CRD Disclosure Conversion
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96-45
NASD Appoints Ombudsman
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96-44
NASD Interprets NASD Rule 2110 and Files Telemarketing Rule Changes with SEC
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96-43
SEC Approves NASD By-Laws Amendments Regarding Gross Revenue
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Disciplinary and Other NASD Actions
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| June 1996 |
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96-42
Fixed Income Pricing System Additions, Changes, and Deletions as of May 30, 1996
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96-41
Independence Day: Trade Date--Settlement Date Schedule
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96-40
SOES Tier Levels Set to Change July 1, 1996
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96-39
Request for Comments on Proposed Changes to Regulations G, T, and U
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96-38
Treasury Issues Letter Clarifying Recordkeeping Requirements for Forward Settling Repurchase Agreement Transactions
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96-37
Fed Approves Amendments to Regulation T
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96-36
SEC Approves Amendment to the Primary Market-Maker Standards
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Disciplinary and Other NASD Actions
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| May 1996 |
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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
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96-34
Fixed Income Pricing System Additions, Changes, and Deletions as of April 30, 1996
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96-33
NASD Clarifies Rules Governing RR/IAs
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96-32
Members Reminded to Use Best Practices When Dealing in Speculative Securities
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Disciplinary and Other NASD Actions
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| April 1996 |
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96-31
Fixed Income Pricing System Additions, Changes, and Deletions as of March 29, 1996
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96-30
Nasdaq National Market Additions, Changes, and Deletions as of March 22, 1996
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96-29
Memorial Day: Trade Date-Settlement Date Schedule
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96-28
NASD Revises Sanction Guidelines
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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
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| March 1996 |
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96-23
Treasury Issues Updated List of Specially Designated Nationals and Blocked Persons
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96-22
Fixed Income Pricing System Additions, Changes, and Deletions as of February 28, 1996
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96-21
Nasdaq National Market Additions, Changes, and Deletions as of February 22, 1996
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96-20
Good Friday: Trade Date--Settlement Date Schedule
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96-19
Annual Check List of NASD Notices to Members
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96-18
Compliance Desk Will Help Members Report Free-Riding and Witholding Information to NASD; Workshops Scheduled for Late April, Early May
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96-17
SOES Tier Levels Set to Change April 1, 1996
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96-16
NASD Adds Remote Sites to Deliver Training and Exams
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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
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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
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Disciplinary and Other NASD Actions
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| February 1996 |
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96-13
Fixed Income Pricing System Additions, Changes, and Deletions as of January 30, 1996
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96-12
Nasdaq National Market Additions, Changes, and Deletions as of January 19, 1996
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96-11
Presidents' Day: Trade Date--Settlement Date Schedule
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96-10
Expanded Limit-Order Protection Rule Gets Further Clarification by NASD
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96-09
SEC Approves NASD Proposal Relating to Third-Market Trading in IPOs of Exchange-Listed Securities
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96-08
SEC Approves Amendments to Section 59 of the Uniform Practice Code Clarifying Delivery Deadlines That May be Specified in Buy-In Notices
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Disciplinary and Other NASD Actions
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| January 1996 |
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96-07
Fixed Income Pricing System Additions, Changes, and Deletions as of December 28, 1996
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96-06
Nasdaq National Market Additions, Changes, and Deletions as of December 20, 1995
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96-05
CRD Redesign Requires Actions by Members
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96-04
1995-96 Renewal Rosters and Final Adjusted Invoices
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96-03
NASD Files with the SEC Proposed Rule Governing Members Operating on Bank Premises
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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
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