Notices

SEC Amends Broker/Dealer Record Retention Rule

SEC Approves Amendments Relating To The Release Of Disciplinary Information

For Your Information

NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market

Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1997

Independence Day: Trade Date — Settlement Date Schedule

SOES Tier Levels Set To Change July 1, 1997

NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public

NASD Interpretive Letters

Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities

Depository Trust Company To Launch Initial Public Offering Tracking System

For Your Information

For Your Information

Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1997

NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC

NASD Reminds Registered Persons Of Continuing Obligation To Update NASD Records

NASD Regulation Requests Comments On Amendments To The Free-Riding And Withholding Interpretation

NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure

Approval Of Investment Company Rankings Amendments

Application Of NASD Conduct Rules To Group Variable Contracts And Other Exempted Securities

NASD Regulation Files Amendment To Bank Broker/Dealer Rule With The SEC

NASD Interpretive Position—NASD Rule 3050—Transactions For Or By Associated Persons

"Limited Edition" Treasury Securities

   1997 Direct Participation Program Directory

Fixed Income Pricing System Additions, Changes, And Deletions As Of March 24, 1997

Memorial Day: Trade Date — Settlement Date Schedule

Members Reminded To Report Executive Representative And Address Changes

NASD Regulation And New York Stock Exchange Memorandum Discusses Sweep Report And Provides Guidance On Heightened Supervision Recommendations

For Your Information

For Your Information

Fixed Income Pricing System Additions,Changes,And Deletions As Of February 21, 1997

SOES Tier Levels Set To Change April 1, 1997

NASD Updates Year 2000 Activities And Advises Members

SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale

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

Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds

NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information

NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members

SEC To Approve Amendments To NASD Rules To Facilitate Compliance With SEC Regulation M

Industry/Regulatory Council On Continuing Education Issues Continuing Education Program Firm Element Advisory