Year-End Check List of NASD Notices to Members
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during 1987. 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 |
|
87-1 |
January 6 |
Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule |
|
87-2 |
January 7 |
Adoption of Amendments to Article III, Section 28 of the NASD Rules of Fair Practice Regarding Securities Accounts Of Associated Persons at Non-NASD Members |
|
87-3 |
January 14 |
NASDAQ National Market System Grows to 2,729 Securities With 17 Voluntary Additions on January 20, 1987 |
|
87-4 |
January 21 |
Presidents' Day: Trade Date-Settlement Date Schedule |
|
87-5 |
January 29 |
NASDAQ National Market System Grows to 2,754 Securities With 24 Voluntary Additions on February 3, 1987 |
|
87-6 |
January 30 |
Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure for the Small Order Execution System (SOES) |
|
87-7 |
February 10 |
NASDAQ National Market System Grows to 2,775 Securities With 17 Voluntary Additions on February 17, 1987 |
|
87-8 |
February 17 |
South African Sanctions Act Regulations |
|
87-9 |
February 19 |
Proposed Amendments to Article XIV of the NASD By-Laws and Article V, Sections 1 and 2 of the NASD Rules of Fair Practice Concerning Disciplinary Sanctions |
|
87-10 |
February 25 |
Proposed Amendment to Section 66 of The NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts |
|
87-11 |
February 25 |
NASDAQ National Market System Grows to 2,788 Securities With 17 Voluntary Additions on March 3, 1987 |
|
87-12 |
February 26 |
Adoption of Amendment to Schedule G Of the NASD By-Laws |
|
87-13 |
February 27 |
Proposed Amendments to Article II, Sections 3, 4, and 5 of the NASD By-Laws |
|
87-14 |
March 2 |
Request for Comments on Proposed Amendments to Article I, Section (c) of The NASD By-Laws and Schedule C to The NASD By-Laws Relating to the Definition of the Term "Branch Office" |
|
87-15 |
March 6 |
Proposed Amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice and the Interpretation of the Board of Governors Concerning Short Sales |
|
87-16 |
March 10 |
Request for Comments on Proposed Amendments to Article IV, Sections 3 And 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice |
|
87-17 |
March 11 |
NASDAQ National Market System Grows to 2,802 Securities With 20 Voluntary Additions on March 17, 1987 |
|
87-18 |
March 25 |
Good Friday: Trade Date-Settlement Date Schedule |
|
87-19 |
March 27 |
Federal Regulation of Government Securities Brokers and Dealers Under The Government Securities Act of 1986 |
|
87-20 |
April 1 |
Request for Comments on Proposed Amendment to Article V, Section 1 of The NASD Rules of Fair Practice |
|
87-21 |
April 2 |
NASDAQ National Market System Grows to 2,847 Securities With 37 Voluntary Additions on April 7, 1987 |
|
87-22 |
April 13 |
Amendments to Resolution of the Board of Governors Concerning Its Policy on Publication of Disciplinary Actions |
|
87-23 |
April 14 |
Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts |
|
87-24 |
April 14 |
Request for .Comments on Proposed Amendments to Article III, Section 35 of The NASD Rules of Fair Practice |
|
87-25 |
April 14 |
Request for Comments and Suggestions On Regulation of Market Making by Affiliates of Issuers |
|
87-26 |
April 14 |
NASDAQ National Market System Grows to 2,850 Securities With 12 Voluntary Additions on April 21, 1987 |
|
87-27 |
April 30 |
NASDAQ National Market System Grows to 2,873 Securities With 19 Voluntary Additions on May 5, 1987, And Four Mandatory Inclusions on May 12, 1987 |
|
87-28 |
May 4 |
Memorial Day: Trade Date-Settlement Date Schedule |
|
87-29 |
May 14 |
NASDAQ/MSE: Unlisted Trading Privileges |
|
87-30 |
May 14 |
NASDAQ National Market System Grows to 2,893 Securities With 21 Voluntary Additions on May 19, 1987 |
|
87-31 |
May 28 |
Mark-Ups and Mark-Downs on Zero-Coupon Securities |
|
87-32 |
June 1 |
Request for Comments on Shareholder Voting Rights Proposal for NASDAQ Companies |
|
87-33 |
June 1 |
Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements |
|
87-34 |
June 2 |
NASDAQ National Market System Grows to 2,917 Securities With 28 Voluntary Additions on June 2, 1987 |
|
87-35 |
June 9 |
NASDAQ National Market System Grows to 2,940 Securities With 23 Voluntary Additions on June 16, 1987 |
|
87-36 |
June 12 |
Split Expiration of Index Options and Futures on June 19, 1987 |
|
87-37 |
June 16 |
Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office" |
|
87-38 |
June 17 |
Independence Day: Trade Date-Settlement Date Schedule |
|
87-39 |
June 19 |
Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws |
|
87-40 |
June 22 |
Request for Comments on a Proposed Amendment to Article III, Section 35 of The NASD Rules of Fair Practice Concerning Testimonials |
|
87-41 |
June 29 |
Proposed Amendments to Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" Under the NASD By-Laws, Schedule C to the By-Laws, and the Rules of Fair Practice |
|
87-42 |
July 1 |
NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987 |
|
87-43 |
July 1 |
Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs |
|
87-44 |
July 6 |
Proposed Amendment to Article III, Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares |
|
87-45 |
July 15 |
NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987 |
|
87-46 |
July 21 |
SEC Approval of NASD Corporate Governance Standards for NASDAQ/ NMS Issuers and Amendments to Schedule D to the NASD By-Laws Concerning Designation of NASDAQ National Market System (NASDAQ/ NMS) Securities |
|
87-47 |
July 22 |
Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws |
|
87-48 |
July 29 |
NASDAQ National Market System Grows to 3,019 Securities With 30 Voluntary Additions on August 4, 1987, And One Mandatory Inclusion on August 4, 1987 |
|
87-49 |
August 10 |
New $10 NYSE Series 7 Development Fee to Begin in August |
|
87-50 |
August 10 |
Amendments to SEC Rules 15c3-l, 17a-3, and 17a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements |
|
87-51 |
August 12 |
Treasury Department Adopts Changes To the Requirements Concerning Financial Recordkeeping and Reporting Of Currency and Foreign Transactions |
|
87-52 |
August 12 |
Request for Comments on Proposed Amendment to the NASD Board Of Governors' Corporate Financing Interpretation Concerning Public Offerings When Proceeds Are Directed to NASD Members |
|
87-53 |
August 12 |
Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules |
|
87-54 |
August 13 |
NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987 |
|
87-55 |
August 14 |
Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987 |
|
87-56 |
August 19 |
Labor Day: Trade Date-Settlement Date Schedule |
|
87-57 |
August 27 |
NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987 |
|
87-58 |
August 31 |
Amendments to SEC Rule 15c3-3 Regarding Treatment of Hold-in-Custody Repurchase Agreements |
|
87-59 |
August 31 |
Quarterly Check List of NASD Notices To Members |
|
87-60 |
September 10 |
NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987 |
|
87-61 |
September 10 |
Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4 |
|
87-62 |
September 22 |
NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates |
|
87-63 |
September 23 |
Columbus Day: Trade Date-Settlement Date Schedule |
|
87-64 |
October 2 |
NASDAQ National Market System Grows to 3,063 Securities With 17 Additions on October 6, 1987 |
|
87-65 |
October 9 |
Statutorily Disqualified Persons Who Obtain a Controlling Interest in an NASD Member Firm and Failure of NASD-Registered Persons Who Become Statutorily Disqualified to Timely Amend Form U-4 |
|
87-66 |
October 14 |
Quarterly Check List of NASD Notices To Members |
|
87-67 |
October 14 |
Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Concerning Testimonials |
|
87-68 |
October 15 |
NASDAQ National Market System Grows to 3,077 Securities With 10 Additions on October 20, 1987 |
|
87-69 |
October 20 |
Front-Running of Blocks—Interpretation of the Board of Governors on Article III, Section 1 of the Rules of Fair Practice |
|
87-70 |
October 22 |
Veteran's Day and Thanksgiving Day: Trade Date-Settlement Date Schedules |
|
87-71 |
October 23 |
SIPC Trustee Appointed |
|
87-72 |
October 28 |
NASDAQ National Market System Grows to 3,087 Securities With 15 Additions on November 3, 1987 |
|
87-73 |
November 4 |
Request for Comments on Amendment To Board of Governors' Free-Riding Interpretation Concerning Investment Partnerships |
|
87-74 |
November 12 |
NASDAQ National Market System Grows to 3,076 Securities With 10 Additions on November 17, 1987 |
|
87-75 |
November 17 |
Revised Series 4—Registered Options Principal (ROP) Qualification Examination and New Study Outline |
|
87-76 |
November 17 |
New Category of Limited Representative Registration for Corporate Securities and Availability of a Study Outline for the Series 62—Corporate Securities Limited Representative Qualification Examination |
|
87-77 |
November 20 |
Request for Comments on Proposed Amendments to the Rules of Fair Practice and Procedures for the NASD's Small Order Execution System and to Schedule D to the NASD By-Laws |
|
87-78 |
November 23 |
1988 Schedule of Holidays |
|
87-79 |
November 24 |
Request for Comments on Proposed New NASD By-Law Authorizing Mandatory Reporting of Trade Comparison Information |
|
87-80 |
November 30 |
NASDAQ National Market System Totals 3,068 Securities With 2 Additions On December 1, 1987 |
|
87-81 |
December 9 |
NASDAQ National Market System Totals 3,066 Securities With 5 Additions On December 15, 1987 |
|
87-82 |
December 9 |
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule |
|
87-83 |
December 10 |
Member Comment on NASD Proposals |
|
87-84 |
December 11 |
Annual State, Agent, and Broker-Dealer Renewals for 1988 |
|
87-85 |
December 24 |
SEC Approves Revised Rules for Reporting NASDAQ/NMS Trades Executed Between 4 p.m. and 5 p.m. Under Schedule D to the NASD By-Laws |
|
87-86 |
December 30 |
NASDAQ National Market System Totals 3,052 Securities With Four Additions on January 5, 1988 |
|
87-87 |
December 30 |
Request for Comments on Proposed Amendments to Schedule E to the NASD By-Laws Regarding the Definition of a Qualified Independent Underwriter |
|
87-88 |
December 30 |
Request for Comments on Proposed Amendments to Section 66 of the NASD Uniform Practice Code Regarding Syndicate Expense Statements and Prompt Settlement of Commissions |