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 second 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 |
|
86-24 |
April 4, 1986 |
SIPC Trustee Appointed |
|
86-25 |
April 7, 1986 |
NASDAQ National Market System Grows to 2,307 Securities with 37 Voluntary Additions on April 15, 1986 |
|
86-26 |
April 8, 1986 |
Request for Comments on Proposed Exemption From Free-Riding Interpretation for Conversion of Savings and Loan Associations |
|
86-27 |
April 16, 1986 |
Amendments to Corporate Financing Filing Requirements Effective Immediately |
|
86-28 |
April 22, 1986 |
Request for Comments on Proposed Amendments to Schedule E of the NASD By-Laws |
|
86-29 |
April 23, 1986 |
Proposed Amendment to Article III, Section 21 of the NASD Rules of Fair Practice Relating to Short Sales |
|
86-30 |
April 24, 1986 |
Quarterly Checklist of Notices to Members |
|
86-31 |
April 25, 1986 |
Request for Comments on a Proposed Amendment to Article III, Section 19(f) of the NASD Rules of Fair Practice |
|
86-32 |
April 28, 1986 |
NASDAQ National Market System Grows to 2,342 Securities with 36 Voluntary Additions on May 6, 1986, and 5 Mandatory Inclusions on May 13, 1986 |
|
86-33 |
May 7, 1986 |
Request for Comments on a Proposed Amendment to the Corporate Financing Interpretation Concerning Sales Incentives for Real Estate Investment Trusts and Corporate Debt and Equity Offerings |
|
86-34 |
May 13, 1986 |
NASDAQ National Market System Grows to 2,363 Securities with 28 Voluntary Additions on May 20, 1986 |
|
86-35 |
May 14, 1986 |
Adoption of Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials" |
|
86-36 |
May 14, 1986 |
Firm Agreements with Customers Not To Testify In NASD Proceedings |
|
86-37 |
May 14, 1986 |
Memorial Day Trade Date-Settlement Date Schedule |
|
86-38 |
May 21, 1986 |
Membership Vote on Proposed Amendments to Article III, Section 28 of the NASD Rules of Fair Practice and Article VII, Section 8 of the NASD By-Laws |
|
86-39 |
May 23, 1986 |
Request for Comments on Proposed Amendment to the Code of Procedure to Grant Discretion to the NASD to Hold Hearings in Eligibility Proceedings |
|
86-40 |
May 23, 1986 |
Request for Comments on Amendment to Free-Riding Interpretation Concerning Investment Partnerships |
|
86-41 |
May 27, 1986 |
Presentation of Yield Quotations for Investment Company Shares in Communications with the Public |
|
86-42 |
May 27, 1986 |
NASDAQ National Market System Grows to 2,385 Securites with 25 Voluntary Additions on June 3, 1986 |
|
86-43 |
June 11, 1986 |
NASDAQ National Market System Grows to 2,398 Securites with 10 Voluntary Additions on June 17, 1986 |
|
86-44 |
June 13, 1986 |
Independence Day Trade Date-Settlement Date Schedule |
|
86-45 |
June 23, 1986 |
NASDAQ National Market System Grows to 2,420 Securities with 18 Voluntary Additions on July 1, 1986 |
|
86-46 |
June 26, 1986 |
Amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials" |
|
86-47 |
June 26, 1986 |
SIPC Trustee Appointed |