Quarterly Check List of NASD Notices to Members
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the first quarter of 1988. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed tos NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
|
Notice Number |
Date |
Topic |
|
88-1 |
January 4, 1988 |
Proposed Amendments to NASD By-Laws And Rules of Fair Practice, and Proposed New Government Securities Rules |
|
88-2 |
January 5, 1988 |
Martin Luther King, Jr's Day; Trade Date-Settlement Date Schedule |
|
88-3 |
January 7, 1988 |
Amendment to Section 64 of the NASD Uniform Practice Code Regarding Acceptance and Settlement of COD Orders, Effective February 11, 1988 |
|
88-4 |
January 14, 1988 |
NASDAQ National Market System Totals 3,040 Securities With Four Additions on January 19, 1988 |
|
88-5 |
January 14, 1988 |
Request for Comments on Proposed NASD Rule of Fair Practice Regarding Outside Business Activities |
|
88-6 |
January 15, 1988 |
SEC Approves NASD New Order Confirmation Transaction (OCT) Service |
|
88-7 |
January 15, 1988 |
Year-End Check List of NASD Notices to Members |
|
88-8 |
January 20, 1988 |
Request for Comments on Proposed New Section 3 to Article VII and an Amendment to Article XI, Section 4 of the NASD By-Laws |
|
88-9 |
January 28, 1988 |
NASDAQ National Market System Totals 3,040 Securities With Six Additions on February 2, 1988 |
|
88-10 |
February 1, 1988 |
Relocation of NASD New York Offices |
|
88-11 |
February 8, 1988 |
Proposed Amendments to Article III, Section 27 of the NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" |
|
88-12 |
February 8, 1988 |
Presidents' Day: Trade Date-Settlement Date Schedule |
|
88-13 |
February 10, 1988 |
NASDAQ National Market System Totals 3,030 Securities With Nine Additions on February 16, 1988 |
|
88-14 |
February 10, 1988 |
Additional Arbitration Filing Fee and Advertising Service Charge |
|
88-15 |
February 24, 1988 |
Amendment to Schedule A to the NASD By-Laws Concerning an Increased Application Fee for Member Firms With Statutorily Disqualified Individuals |
|
88-16 |
February 24, 1988 |
NASDAQ National Market System Totals 3,004 Securities With Six Additions on March 1, 1988 |
|
88-17 |
March 1, 1988 |
Request for Comments on Proposed Amendments to NASD Rules of Fair Practice to Prohibit Non-Cash Compensation in Connection with Sales of Investment Company and Variable Contract Products |
|
88-18 |
March 4, 1988 |
Extension of Comment Period: Proposed Amendments to Article III, Section 27 of The NASD Rules of Fair Practice Regarding Supervision and the Definitions of "Office of Supervisory Jurisdiction" and "Branch Office" |
|
88-19 |
March 10, 1988 |
Proposed Amendment to Article VII of The NASD By-Laws Authorizing Mandatory Reporting of Trade Information |
|
88-20 |
March 14, 1988 |
Request for Comments on Proposed Amendment to Article III, Section 35 of The NASD Rules of Fair Practice Relating to Advertising and Sales Literature For Investment Company Securities |
|
88-21 |
March 14, 1988 |
Good Friday: Trade Date-Settlement Date Schedule |
|
88-22 |
March 11, 1988 |
NASDAQ National Market System Totals 2,996 Securities With 11 Additions on March 15, 1988 |
|
88-23 |
March 23, 1988 |
SIPC Trustee Appointed |
|
88-24 |
March 30, 1988 |
Registration of Persons Soliciting on Behalf of Members |
|
88-25 |
March 30, 1988 |
NASDAQ National Market System Totals 2,994 Securities With 13 Additions on April 5, 1988 |