Quarterly Checklist of Notices to Members
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
|
Notice Number |
Date |
Topic |
|
84-21 |
April 3, 1984 |
Adoption of a New Rule of Fair Practice and Other Amendments Regulating Activities of Members Experiencing Financial or Operational Difficulties |
|
84-22 |
April 12, 1984 |
Ten Securities Mandated to Join NMS on May 8, 1984 |
|
84-23 |
April 27, 1984 |
National Market System Grows to 935 Securities with 50 Additions on May 15 |
|
84-24 |
May 3, 1984 |
Memorial Day Trade Date-Settlement Date Schedule |
|
84-25 |
May 3, 1984 |
Quarterly Checklist of Notices to Members |
|
84-26 |
May 11, 1984 |
Request for Comment on Proposed Criteria for NASDAQ NMS Designation |
|
84-27 |
May 15, 1984 |
SEC Request for Comments on NASDAQ Options Proposal |
|
84-28 |
May 22, 1984 |
Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs |
|
84-29 |
May 29, 1984 |
Forty-Six Securities Mandated to Join NMS on June 19, 1984 |
|
84-30 |
May 29, 1984 |
Monthly Statistical Report Subscription Service |
|
84-31 |
June 11, 1984 |
SIPC Trustee Appointed for First Interwest Securities Corp., Denver, Colorado |
|
84-32 |
June 11, 1984 |
SIPC Trustee Appointed for June S. Jones Co., Portland, Oregon |
|
84-33 |
June 13, 1984 |
Independence Day Trade Date-Settlement Date Schedule |
|
84-34 |
June 15, 1984 |
Implementation of the NASAA/CRD Temporary Agent Transfer Program (TAT) Via the Central Registration Depository-Need to File Broker-Dealer Undertaking |
|
84-35 |
June 28, 1984 |
NMS Securities to Surpass 1,000 Mark on July 10, 1984 |
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