Third-Quarter Check List of NASD Notices to Members
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SUGGESTED ROUTING* |
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Corporate Finance |
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the third quarter of 1988. Requests for copies of notices should be accompanied by a self-addressed mailing label and sent to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
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Notice |
Date |
Topic |
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88-44 |
7/01 |
Mail Vote on Rule Amendments: Supervision and Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" |
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88-45 |
7/01 |
Mail Vote on Proposed Rule Re Outside Business Activity |
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88-46 |
7/01 |
Rule Amendment to Authorize Trading Halts in NASDAQ Securities |
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88-47 |
7/01 |
Request for Comments Re Prompt Receipt and Delivery of Securities |
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88-48 |
7/01 |
Request for Comments on Amendment Re Filling Vacancies on District Committees |
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88-49 |
7/01 |
Request for Comments on Proposed Prohibition of Concurrent Registration |
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88-50 |
7/01 |
Guidelines for Registration of Persons Soliciting on Behalf of Members |
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88-51 |
7/01 |
Registration of Foreign Branch Offices by August 1,1988 |
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88-52 |
7/01 |
Rule Amendment ReTestimonial Advertisements |
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88-53 |
7/01 |
SIPC Trustee Appointed for Fitzgerald, DeArman & Roberts, Inc |
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88-54 |
7/01 |
(Supplement 1) Implementation of Reporting Requirements for Non-NASDAQ OTC Securities |
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88-55 |
8/01 |
Amendments Adopted Re Sharing in Customer Accounts and Performance-Based Fees |
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88-56 |
8/01 |
Revisions to Form BD; State Pilot for Broker-Dealer Phase of CRD |
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88-57 |
8/01 |
NASDAQ National Market System Additions, Changes, and Deletions as of July 22, 1988 |
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88-58 |
8/01 |
September First-Saturday Exam Session Date Changes |
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88-59 |
8/01 |
Schedule for Labor Day Trade Date-Settlement Date |
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88-60 |
8/01 |
Second-Quarter 1988 Notices to Members Check List |
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88-61 |
8/25 |
(Supplement) Interpretation of SOES Rules Re Maximum Order Size Restrictions |
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88-62 |
9/01 |
SEC Adopts Rule 10b-21 Prohibiting Short Selling into Secondaries |
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88-63 |
9/01 |
SEC Approves Rule: Issuing Companies Must Notify NASD Re Material News Before Public Release |
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88-64 |
9/01 |
Mail Vote on Proposed Amendment Re Advertising and Sales Literature for Investment Company Securities |
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88-65 |
9/01 |
Request for Comment: Proposed Amendment Re Use and Disclosure of Member Names |
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88-66 |
9/01 |
Test Center Location Change for September Houston Series 7 Exam |
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88-67 |
9/01 |
Obligation to Provide Accurate Information on Forms U-4 and U-5 and Research Potential Employees' Backgrounds |
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88-68 |
9/01 |
Request for Comment: Providing Terminated Employees with Form U-5 and Obtaining Prior Form U-5 for Potential Employees |
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88-69 |
9/01 |
Procedures to Document Excused Market-Maker Withdrawal Under Schedule D of By-Laws |
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88-70 |
9/01 |
Schedule for Columbus Day Trade Date-Settlement Date |
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88-71 |
9/01 |
NASDAQ National Market System Additions, Changes, and Deletions as of August 19 |
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88-72 |
10/01 |
Mail Vote on Proposed Change in Definition of "Bona Fide Research" |
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88-73 |
10/01 |
UPC Amendment Requires Syndicate Managers to Provide Itemized Expense Statements to Members of Underwriting Syndicate |
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88-74 |
10/01 |
Amendments to Code of Procedure Re Composition of Panels for DBCC and Market Surveillance Hearings |
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88-75 |
10/01 |
Amendment Eliminating the Fine Ceilings in Disciplinary Pro-ceed-ings |
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88-76 |
10/01 |
Houston Test Center Change for October 15 Series 7 Examination |
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88-77 |
10/01 |
SIPC Trustee Appointed for Fair-weather (George R.) Securities, Inc., Jersey City, New Jersey |
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88-78 |
10/01 |
New Telephone Number for NASD's Rockville, Maryland Office Effective October 14,1988 |
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88-79 |
10/01 |
NASDAQ National Market System Additions, Changes, and Deletions as of September 16,1988 |
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88-80 |
10/01 |
Third-Quarter 1988 Check List of NASD Notices to Members |
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88-81 |
10/01 |
NASD Raises Corporate Filing Fees, Effective October 1, 1988 |
Correction to Notice to Members 88-55
10/01 Re Sharing in Customer Accounts