Notices

Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992

NASD Policies and Procedures for Markups/Markdowns in Equity Securities

Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992

SEC Approval of Trade Reporting for Regular Nasdaq Securities

SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters

Proposed Amendment to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption for Negative-Response Letters Used to Facilitate Certain Bulk Exchanges of Money Market Mutual Funds

Advertising of Collateralized Mortgage Obligations by NASD Members

Independence Day — Trade Date-Settlement Date Schedule

SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons

Providing of Proxy Voting Advice to Customers

Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992

Last Voting Date: July 22, 1992

Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992

Request for Comments on Proposed Amendment to the Rules of Fair Practice Relating to the Respective Obligations and Supervisory Responsibilities of Introducing and Clearing Firms; Last Date for Comments: July 22, 1992

Last Date for Comments: July 22, 1992

Proposed Amendment to Article III, Section 21 of the Rules of Fair Practice to Require Predispute Arbitration Agreements to Include a Notice That Class-Action Matters May Not Be Arbitrated; Last Voting Date: August 21, 1992

Last Voting Date: August 21, 1992

Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks

Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice And Section 8 of the NASD's Government Securities Rules to Require Members to Prefile Advertisements for Collateralized Mortgage Obligations; Last Voting Date: Aug

Last Voting Date: Aug

SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990

Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992

SEC Adopts Temporary Risk Assessment Rules

Penny Stock Risk Disclosure Document

Appointment of a SIPC Trustee for Two Firms

SEC Approval of Amendments to Article III, Section 26 of the NASD Rules of Fair Practice Regarding Limitations on Mutual Fund Asset-Based Sales Charges; Effective July 7, 1993

Effective July 7, 1993

Nasdaq National Market Additions, Changes, and Deletions as of July 28, 1992

Labor Day — Trade Date-Settlement Date Schedule

The Role of the NASD's Standing Committees

Nasdaq National Market Additions, Changes, and Deletions as of August 25, 1992

Columbus Day — Trade Date-Settlement Date Schedule

Underwriting Compensation Received by Members in Public Corporate Equity Offerings

Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD® By-Laws

Nasdaq National Market Additions, Changes, and Deletions as of September 25, 1992

Broker/Dealer and Agent Renewals for 1992-93

Veteran's Day and Thanksgiving Day — Trade Date-Settlement Date Schedule

SEC Approval of Amendments Relating to "When, as and if Issued" and "When, As and if Distributed" Contracts; Effective November 2, 1992

Effective November 2, 1992

Revised Form BD Goes Into Effect November 16, 1992

SEC Approval of Amendment to Section 13, Schedule E to the NASD By-Laws Effective October 1, 1992

Christmas Day and New Year's Day — Trade Date-Settlement Date Schedule

SEC Approval of Amendments Relating to Periodic Account Statements

Proposed Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest; Last Voting Date: December 21, 1992

Last Voting Date: December 21, 1992

SOES Tier Levels to Change for 538 Issues on December 1, 1992

SEC Approval of Amendments Requiring Prefiling of Advertisements for Collateralized Mortgage Obligations