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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 1997 |
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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
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97-96
Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey
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97-95
Fixed Income Pricing System Additions, Changes, and Deletions as of November 21, 1997
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97-94
NASD 1998 Holiday Schedule
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97-93
Trade Date Settlement Date Schedule for 1998
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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
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97-91
NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation
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97-90
SOES Tier-Size Levels Set To Change January 1, 1998
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97-89
SEC Approves Bank Broker/Dealer Rule; Effective February 15, 1998
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97-88
SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority; Effective Immediately
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97-87
Treasury Updates List of Specially Designated Persons and Entities
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Disciplinary and Other NASD Actions
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For Your Information
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Survey
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| November 1997 |
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97-86
Nominees for NASD Board of Governors
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97-85
Fixed Income Pricing System Additions, Changes, and Deletions as of October 24, 1997
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97-84
Christmas Day And New Years Day: Trade Date Settlement Date Schedule
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97-83
Exemption from SEC Rule 15c2-11 for Certain Securities Delisted from Nasdaq
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97-82
SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers; Effective December 15, 1997
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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
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97-80
SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments; Effective Immediately
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97-79
NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements;
Comment Period Expired December 1, 1997
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97-78
SEC Approves Rule Relating To Distribution Of Information Concerning NASD's Public Disclosure Program
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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
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97-76
Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities
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Disciplinary and Other NASD Actions
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For Your Information
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| October 1997 |
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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.)
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97-74
SEC Approves Amendments To Legal Definition Of Short Sale
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97-73
Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997
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97-72
Veterans Day And Thanksgiving Day: Trade Date Settlement Date Schedule
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97-71
NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts
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97-70
Broker-Dealer And Agent Renewals For 1998
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97-69
No Notice has been designated as 97-69
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97-68
SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997
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97-67
NASD Regulation Institutes Firm Quote Compliance
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Disciplinary and Other NASD Actions
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For Your Information
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| September 1997 |
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97-66
Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary
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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
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97-64
Fixed Income Pricing System Additions, Changes, and Deletions as of August 22, 1997
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97-63
Columbus Day: Trade Date Settlement Date Schedule
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97-62
SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement of SEC Fee Rate Algorithm
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97-61
SOES Tier Size Levels Set to Change October 1, 1997
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97-60
SEC Approves New Procedures for Granting Exemptions to NASD Rules
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97-59
NASD Regulation Requests Comment on Injunctive Relief and Expedited Proceedings;
Comment Period Expired October 31, 1997
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97-58
NASD Regulation Requests Comment on Proposed Interpretive Material 1031 Regarding Cold Calling Activity;
Comment Period Expired October 31, 1997
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97-57
NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities
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97-56
Intermarket Surveillance Group Issues New Automated Reporting Requirements
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Disciplinary and Other NASD Actions
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For Your Information
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| August 1997 |
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97-55
New Membership Application Rules, New Code of Procedure, and Other New Disciplinary Rules
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97-54
Fixed Income Pricing System Additions, Changes, and Deletions as of July 25, 1997
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97-53
Labor Day: Trade Date Settlement Date Schedule
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97-52
SEC Approves Amendments Relating to Market Maker Registration and Primary Market Maker Eligibility by Managers And Co-Managers of Secondary Offerings
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97-51
NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37
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97-50
NASD Regulation Requests Comment on Regulation of Payment and Receipt of Cash Compensation Incentives;
Comment Period Expired October 15, 1997
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97-49
Compliance with SEC Order Handling Rules and Nasdaq Trading Rules
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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
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97-47
NASD Regulation Requests Comment on Presentation of Related Performance Information;
Comment Period Expired September 29, 1997
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97-46
SEC Approves Rule Prohibiting Payments for Market Making
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97-45
Corrected List of SOES Tier Size Levels Effective July 1, 1997
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Disciplinary and Other NASD Actions
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For Your Information
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| July 1997 |
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97-44
Fixed Income Pricing System Additions, Changes, and Deletions as of June 20, 1997
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97-43
SEC Amends Broker/Dealer Record Retention Rule
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97-42
SEC Approves Amendments Relating To The Release Of Disciplinary Information
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Disciplinary and Other NASD Actions
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| June 1997 |
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97-41
NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market;
Comment Period Expired July 15, 1997
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97-40
Fixed Income Pricing System Additions,Changes, And Deletions As Of May 22, 1997
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97-39
Independence Day: Trade Date Settlement Date Schedule
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97-38
SOES Tier Levels Set to Change July 1, 1997
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97-37
NASD Regulation Requests Comment on Proposed Definition of Correspondence for Rules Regarding Communications with the Public;
Comment Period Expired July 15, 1997
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97-36
NASD Interpretive Letters
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97-35
Treasury's Foreign Assets Control Office Updates List of Specially Designated Persons and Entities
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97-34
Depository Trust Company to Launch Initial Public Offering Tracking System
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Disciplinary and Other NASD Actions
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For Your Information
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| May 1997 |
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97-33
Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1997
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97-32
NASD Regulation Files Proposed Changes to Disciplinary, Election, and Membership Procedures with the SEC
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97-31
NASD Reminds Registered Persons of Continuing Obligation to Update NASD Records
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97-30
NASD Regulation Requests Comments on Amendments to the Free-Riding and Withholding Interpretation;
Comment Period Expired June 16, 1997
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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
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97-28
Approval f Investment Company Rankings Amendments
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97-27
Application of NASD Conduct Rules to Group Variable Contracts and Other Exempted Securities
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97-26
NASD Regulation Files Amendments to Bank Broker/Dealer Rule with the SEC
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97-25
NASD Interpretive Position NASD Rule 3050 Transactions for or By Associated Persons
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97-24
"Limited Edition" Treasury Securities
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97-23
1997 Direct Participation Program Directory
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Disciplinary and Other NASD Actions
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For Your Information
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| April 1997 |
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97-22
Fixed Income Pricing System Additions, Changes, and Deletions as of March 24, 1997
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97-21
Memorial Day: Trade Date Settlement Date Schedule
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97-20
Members Reminded to Report Executive Representative and Address Changes
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97-19
NASD Regulation and New York Stock Exchange Memorandum Discusses Sweep Report and Provides Guidance on Heightened Supervision Recommendations
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Disciplinary and Other NASD Actions
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| March 1997 |
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97-18
Fixed Income Pricing System Additions, Changes, and Deletions as of February 21, 1997
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97-17
SOES Tier Levels Set to Change April 1, 1997
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97-16
NASD Updates Year 2000 Activities and Advises Members
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97-15
SEC Approves Amendments to ACT Rules to Require Market Makers to Denote When They Have Effected an Exempt Short-Sale
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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
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97-13
Bank Secrecy Act Recordkeeping Rule for Funds Transfers and Transmittals of Funds
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97-12
NASD Regulation Requests Comment on Proposed Rule Governing Use and Release of Customer Confidential Financial Information;
Comment Period Expired April 30, 1997
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97-11
NASD Regulation Requests Comment on Proposed Rule Restricting Payment of Referral Fees by NASD Members;
Comment Period Expired April 30, 1997
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97-10
SEC to Approve Amendments to NASD Rules to Facilitate Compliance with SEC Regulation M
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97-09
Industry/Regulatory Council on Continuing Education Issues Continuing Education Program Firm Element Advisory
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97-08
SEC Approves Quotation and Transaction Reporting of Direct Participation Programs
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Disciplinary and Other NASD Actions
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For Your Information
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| February 1997 |
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97-07
Fixed Income Pricing System Additions, Changes, and Deletions as of January 24, 1997
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97-06
Good Friday: Trade Date Settlement Date Schedule
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97-05
Annual Check List of NASD Notices to Members
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97-04
NASD Reminds Members About Treasury's Foreign Assets Control Regulations
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Disciplinary and Other NASD Actions
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For Your Information
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| January 1997 |
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97-03
Fixed Income Pricing System Additions, Changes, and Deletions as of December 23, 1996
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97-02
Presidents' Day Trade Date Settlement Date
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97-01
Approval of Telemarketing Amendments
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Disciplinary and Other NASD Actions
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For Your Information
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