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 third 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. 20006-1506.
|
Notice Number |
Date |
Topic |
|
86-48 |
July 8, 1986 |
NASDAQ National Market System Grows to 2,457 Securities With 33 Voluntary Additions on July 15, 1986 |
|
86-49 |
July 9, 1986 |
Request for Comments on Proposed Amendment to Schedule G of the NASD By-Laws |
|
86-50 |
July 11, 1986 |
Accurate Completion of Form U-4 (Uniform Application for Securities Industry Registration) |
|
86-51 |
July 14, 1986 |
Automation of Test Administration for the Financial and Operations Principal Examination |
|
86-52 |
July 29, 1986 |
NASDAQ National Market System Grows to 2,507 Securities With 52 Voluntary Additions on August 5, 1986, and 2 Mandatory Inclusions on August 12, 1986 |
|
86-53 |
July 30, 1986 |
Quarterly Checklist of Notices to Members |
|
86-54 |
July 30, 1986 |
Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Governing the Prompt Payment for Investment Company Shares Sold to Customers by NASD Members |
|
86-55 |
July 30, 1986 |
Request for Comments on Proposed Revisions to Schedule D of the NASD By-Laws |
|
86-56 |
August 12, 1986 |
NASDAQ National Market System Grows to 2,517 Securities With 17 Voluntary Additions on August 19, 1986 |
|
86-57 |
August 12, 1986 |
Labor Day: Trade Date-Settlement Date Schedule |
|
86-58 |
August 26, 1986 |
NASDAQ National Market System Grows to 2,550 Securities with 27 Voluntary Additions on September 2, 1986 |
|
86-59 |
August 27, 1986 |
Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-In |
|
86-60 |
August 27, 1986 |
Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 64, Acceptance and Settlement of COD Orders |
|
86-61 |
September 3, 1986 |
Proposed New Rule of Fair Practice Relating to Monthly Reporting of Aggregate "Short" Positions |
|
86-62 |
September 10, 1986 |
NASDAQ National Market System Grows to 2,569 Securities With 27 Voluntary Additions on September 16, 1986 |
|
86-63 |
September 10, 1986 |
NASD Operations Center Opens in Rock-ville, Maryland; New Addresses and Telephone Numbers |
|
86-64 |
September 12, 1986 |
Columbus Day: Date Schedule Trade Date-Settlement |
|
86-65 |
September 12, 1986 |
Compliance with the NASD Rules of Fair Practice in the Employment and Supervision of Off-Site Personnel |
|
86-66 |
September 19, 1986 |
Due Diligence Expense Reimbursements in Connection with Direct Participation Programs |