Quarterly Checklist of Notices to Members
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the first quarter of 1986. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006
|
Notice Number |
Date |
Topic |
|
86-1 |
January 2, 1986 |
Amendments to Venture Capital Restrictions Effective |
|
86-2 |
January 13, 1986 |
Quarterly Checklist of Notices to Members |
|
86-3 |
January 15, 1986 |
NASDAQ National Market System Grows to 2,218 Securities With 16 Voluntary Additions on January 21, 1986 |
|
86-4 |
January 20, 1986 |
New NASD Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions |
|
86-5 |
January 21, 1986 |
Presidents' Day: Trade Date - Settlement Date Schedule |
|
86-6 |
January 29, 1986 |
NASDAQ National Market System Grows to 2,237 Securities With 19 Voluntary Additions on February 4, 1986, and 4 Mandatory Inclusions on February 11, 1986 |
|
86-7 |
January 29, 1986 |
SIPC Trustee Appointed |
|
86-8 |
February 3, 1986 |
SIPC Trustee Appointed |
|
86-9 |
February 7, 1986 |
Amendments to Article III of the NASD Rules of Fair Practice |
|
86-10 |
February 12, 1986 |
NASDAQ National Market System Grows to 2,246 Securities With 22 Voluntary Additions on February 18, 1986 |
|
86-11 |
February 13, 1986 |
New Application Fee For Statutorily Disqualified Individuals |
|
86-12 |
February 20, 1986 |
Effectiveness of Amendment to NASD's Uniform Practice Code Concerning Customer Account Transfers |
|
86-13 |
February 21, 1986 |
Request for Comments on Proposed Amendment to Schedule D of the NASD By-Laws to Authorize Trading Halts in NASDAQ Securities and Listed Securities Traded Over-the-Counter |
|
86-14 |
February 24, 1986 |
NASDAQ National Market System Grows to 2,259 Securities With 14 Voluntary Additions on March 4, 1986 |
|
86-15 |
February 28, 1986 |
Monthly Reports of Aggregate "Short" Positions |
|
86-16 |
March 4, 1986 |
Amendments to SEC Rule 10b-10 |
|
86-17 |
March 5, 1986 |
Availability of New Outline for the Series 7 General Securities Representative Examination; Updating of Margin Questions on Option Principal Examinations |
|
86-18 |
March 10, 1986 |
NASDAQ National Market System Grows to 2,277 Securities With 20 Voluntary Additions on March 18, 1986 |
|
86-19 |
March 11, 1986 |
Treasury Department Amends the Currency Transaction Report |
|
86-20 |
March 11, 1986 |
Request for Comment on Proposed Rule Requiring Supervisory Procedures on Limit Orders |
|
86-21 |
March 12, 1986 |
Holiday Settlement Schedule |
|
86-22 |
March 24, 1986 |
NASDAQ National Market System Grows to |
|
86-23 |
March 27, 1986 |
Request for Comments on Proposed Amendments to the NASD By-Laws and Code of Procedure to Accommodate Extended Hearings |