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 third 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 |
|
84-36 |
July 18, 1984 |
Request for Comments on Possible Amendments to Venture Capital Restrictions |
|
84-37 |
July 18, 1984 |
Interpretation of Venture Capital Restrictions |
|
84-38 |
July 13, 1984 |
Five Securities Mandated to Join NMS August 7, 1984 |
|
84-39 |
July 25, 1984 |
Quarterly Checklist of Notices to Members |
|
84-40 |
July 26, 1984 |
Compensation Arrangements With Respect to Sale of Mutual Fund Shares |
|
84-41 |
July 30, 1984 |
40 More Securities to Join NMS on August 14 |
|
84-42 |
August 9, 1984 |
Labor Day: Trade Date-Settlement Date Schedule |
|
84-43 |
August 9, 1984 |
NASDAQ Market Open on Election Day, November 6, 1984 |
|
84-44 |
August 31, 1984 |
Amendments to the Uniform Practice Code Sections 5, 9,12 and 30 |
|
84-45 |
August 31, 1984 |
Request for Comments on a Proposed New Section to the Uniform Practice Code Concerning Customer Account Transfers |
|
84-46 |
August 31, 1984 |
SEC Approval of Revised Rules for Bunching of NASDAQ/NMS Trades |
|
84-47 |
September 4, 1984 |
Adoption of Amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice |
|
84-48 |
September 4, 1984 |
New SEC Staff Interpretation Concerning the Treatment of Concessions Receivable and Related Concessions Payable Under the Uniform Net Capital Rule |
|
84-49 |
September 6, 1984 |
32 More Securities to Join NASDAQ/NMS on September 18 |
|
84-50 |
September 18, 1984 |
Trade Date-Settlement Dates for October and Early November |
|
84-51 |
September 28, 1984 |
Amendments to Code of Arbitration Procedure |
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