Annual Check List of NASD Notices to Members

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Notice

Date

Topic

89-1

1/89

Proposed By-Laws Amendment on Filling Vacancies on District Committees

89-2

1/89

Proposed New Rule Re: Business Conduct of Members

89-3

1/89

Proposed Rule to Restrict Payment of Referral Fees by NASD Members

89-4

1/89

Proposed Mandatory Participation by Clearing Members in Reconfirmation and Pricing Services

89-5

1/89

Insider Trading and Securities Fraud Enforcement Act of 1988

89-6

1/89

State Participation in CRD Form BD and BDW Processing

89-7

1/89

1989 Renewal Rosters and Final Adjusted Invoices

89-8

1/89

NASD 1989 Holiday Schedule

89-9

1/89

Trade Date-Settlement Date

89-10

1/89

Schedule for 1989 NASDAQ National Market Additions, Deletions, and Changes as of December 13,1988

89-11

2/89

SEC Approval of Rule Amendment Requiring Filing of Advertising and Sales Literature for Investment Company Securities

89-12

2/89

Reporting Suspicious Currency and Other Questionable Transactions to the IRS/Customs Hotline

89-13

2/89

Access to Disciplinary Information on Prospective Employees

89-14

2/89

SEC Approves Amendments to Rule 17f-l, Lost and Stolen Securities Program

89-15

2/89

Adoption of Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations

89-16

2/89

Amendment to Appendix F Permitting Indeterminate Compensation in Public Direct Participation Programs

89-17

2/89

Adoption of Rule Amendments Mandating the Automated Submission of Trading Data Technical Specifications

89-18

2/89

Presidents' Day: Trade Date-Settlement Date Schedule

89-19

2/89

NASDAQ National Market Additions, Deletions, and Changes as of January 12, 1989

89-20

2/17/89

Proposed Amendments to Article III, Sections 1-28 of the NASD Rules of Fair Practice

89-21

3/89

Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements

89-22

3/89

Proposed Amendment Re: Use and Disclosure of Member Names

89-23

3/89

Proposed Amendment Re: Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees

89-24

3/89

Proposed Amendment to Schedule C to the NASD By-Laws to Amend the Definition of a Direct Participation Program

89-25

3/89

SIPC Reimposes Assessments Based on Percentage of Gross Revenue

89-26

3/89

Securities and Exchange Commission's Proposed Rule 15c2-6 Re: Sales Practices in Pink Sheet Stocks

89-27

3/89

Treasury Finalizes Two Amendments Re: Currency Transactions; Reissues Current Currency Transaction Report Form

89-28

3/89

Approval and Immediate Effectiveness of Amendment to Definition of "Bona Fide Research" Under Article III, Section 24 of NASD Rules of Fair Practice

89-29

3/89

SOES Tier Levels to Change for 575 Issues on March 17, 1989

89-30

3/89

Good Friday Trade Date-Settlement Date Schedule

89-31

3/89

NASDAQ National Market Additions, Deletions, and Changes as of February 10, 1989

89-32

3/89

Temporary Receiver Appointed for Investors Center, Inc.

89-33

4/89

Proposed Amendments to Article III, NASD Code of Procedure Re: Board of Governors' Reviews of Disciplinary Actions

89-34

4/89

Guidelines for Compliance With Article III, Section 27 of the NASD Rules of Fair Practice Re: Supervisory Practices and Procedures

89-35

4/89

Misuse of "No Load" Terminology in the Offer of Mutual Funds That Have Contingent Deferred Sales Loads

89-36

4/89

SIPC Trustee Appointed for Investors Center, Inc.

89-37

4/89

NASDAQ National Market Additions, Changes, and Deletions as of March 13, 1989

89-38

4/89

Quarterly Check List of Notices to Members

89-39

5/89

Proposed New Rule Re: Handling Customer Limit Orders

89-40

5/89

Proposed Amendment to Code of Procedure Re: Summary Remedial Proceedings

89-41

5/89

SEC Approval of By-Laws Amendment on Filling Vacancies on District Committees

89-42

5/89

Memorial Day Trade Date-Settlement Date Schedule

89-43

5/89

NASDAQ National Market Additions, Changes, and Deletions as of April 13, 1989

89-44

6/89

Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989

89-45

6/89

Independence Day Trade Date-Settlement Date Schedule

89-46

6/89

NASDAQ National Market Additions, Changes, and Deletions as of May 15,1989

89-47

7/89

Notice to Membership of Disciplinary Actions; Publication of Sanctions; Availability of NASD Manual

89-48

7/89

All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective September 1, 1989

89-49

7/89

SEC Approval of Amendment to Schedule C of NASD By-Laws to Require Members to Submit Applications for and Maintain Registration of Only Such Persons Who Intend to Engage or Are Engaged in the Investment Banking or Securities Business for the Member

89-50

7/89

NASD Initiates Computerized Extension Request Service for Regulation T and SEC Rule 15c3-3; New Form Required

89-51

7/89

Proposed Amendments to Article III, Section 26, of the NASD Rules of Fair Practice Re: Cash and Noncash Concessions in Connection with the Retail Sale of Investment-Company Securities

89-52

7/89

SEC Approval of Amendment to Schedule C of By-Laws to Establish Waiting Periods Between Attempts to Pass Qualification Examinations

89-53

7/89

NASDAQ National Market Additions, Changes, and Deletions as of June 14, 1989

89-54

7/7/89

Correction to Notice to Members 89-48 â€" All Non-NASDAQ OTC Securities Are Subject to Price and Volume Reporting Effective August 1, 1989

89-55

8/89

Proposed Amendments to the NASD Uniform Practice Code Re: Clearly Erroneous Trades; and Proposed Amendments to Article IX of the NASD Code of Procedure Re: Non-NASDAQ Grievances

89-56

8/89

Proposed Amendments to NASD Uniform Practice Code Re: Mandatory Buy-In for Short Sales

89-57

8/89

SEC Approval of By-Law and Rule of Fair Practice Amendments on Providing Terminated Employees With Form U-5 and Obtaining Prior Form U-5 for Potential Employees â€" Effective September 1, 1989

89-58

8/89

Amendment Re: Predispute Arbitration Clauses in Customer Agreements

89-59

8/89

Report on Group of Thirty Recommendations Regarding Clearance and Settlement and Request for Comments

89-60

8/89

Labor Day Trade Date-Settlement Date Schedule

89-61

8/89

NASDAQ National Market Additions, Changes, and Deletions as of July 12, 1989

89-62

9/89

Columbus Day Trade Date-Settlement Date Schedule

89-63

9/89

NASDAQ National Market Additions, Changes, and Deletions as of August 11, 1989

89-64

10/89

SEC Approval of Fair Practice Amendment Re: The Conduct of Accounts Engaged in Uncovered Short Option Transactions

89-65

10/89

SEC Adoption of Rule 15c2-6 Re: Sales Practice and Suitability Requirements for Certain Low-Priced Securities

89-66

10/89

Size of "Normal" Unit of Trading for NASDAQ-Listed Debentures

89-67

10/89

SOES Tier Levels to Change for 521 Issues on October 9, 1989

89-68

10/89

NASDAQ National Market Additions, Changes, and Deletions as of September 14, 1989

89-69

10/11/89

SEC Proposes Significant Amendments to the Net Capital Rule

89-70

11/89

Automated Submission of Trading Data

89-71

11/89

SEC Approval of Amendments to Article IV, Section 1, and Article VI of the Rules of Fair Practice on Notice to Membership of Disciplinary Actions, Publication of Sanctions, and Availability of NASD Manual

89-72

11/89

Broker-Dealer and Agent Renewals for 1989-90

89-73

11/89

Revisions to Certain NASD Qualification Examinations

89-74

11/89

Thanksgiving Day: Trade Date-Settlement Date Schedule

89-75

11/89

NASDAQ National Market Additions, Changes, and Deletions as of October 12,1989

89-76

12/89

Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Set for First Quarter 1990

89-77

12/89

Proposed Amendments to Article III, Section 12 of the NASD Rules of Fair Practice Re: Disclosure on Confirmations When Investment Companies Impose a Deferred Sales Charge on Redemption

89-78

12/89

Availability of Two New NASD Categories of Registration and Qualification Examinations

89-79

12/89

NASD 1990 Holiday Schedule

89-80

12/89

Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule

89-81

12/89

NASDAQ National Market Additions, Changes, and Deletions as of November 13, 1989