Notice to Members 97-05

Annual Check List of NASD Notices to Members

Published Date:

SUGGESTED ROUTING

  

Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations

Options
Registration
Research
Syndicate
Systems
Trading
Training


The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire year's Notices, is also available at $100. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be sent to NASD MediaSourceSM, P.O. Box 9403, Gaithersburg, MD 20898-9403. Credit card telephone orders can be made by calling (301) 590-6578, Monday to Friday, 9 a.m. to 5 p.m., Eastern Time.

Notice Date Topic Page
96-1 1/96 Mail Vote—NASD Solicits Member Vote On Amendments To The NASD By-Laws To Require Members To File Required Documents Electronically; Last Voting Date: February 16, 1996 3
96-2 1/96 SEC Approves Amendments To Article II, Section 4 Of The NASD By-Laws To Include Statutory Disqualification Provisions Adopted By Congress 7
96-3 1/96 NASD Files With The SEC Proposed Rule Governing Members Operating On Bank Premises 11
96-4 1/96 1995-96 Renewal Rosters And Final Adjusted Invoices 17
96-5 1/96 CRD Redesign Requires Actions By Members 19
96-6 1/96 Nasdaq National Market Additions, Changes, And Deletions As Of December 20, 1995 21
96-7 1/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 28, 1995 25
96-8 2/96 SEC Approves Amendments To Section 59 Of The Uniform Practice Code Clarifying Delivery Deadlines That May Be Specified In Buy-In Notices 39
96-9 2/96 SEC Approves NASD Proposal Relating To Third-Market Trading In IPOs Of Exchange-Listed Securities 41
96-10 2/96 Expanded Limit-Order Protection Rule Gets Further Clarification By NASD 43
96-11 2/96 Presidents' Day: Trade Date-Settlement Date Schedule 45
96-12 2/96 Nasdaq National Market Additions, Changes, And Deletions As Of January 19, 1996 47
96-13 2/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 30, 1996 51
96-14 3/96 SEC Approves Amendments To Sections 1(a)(v) And 73 Of NASD Uniform Practice Code Relating To The Use Of Standardized Limited Partnership Transfer Forms 67
96-15 3/96 SEC Approves NASD Proposals To Add Two New Options Position-Limit Tiers And Extend And Expand The NASD's Equity Option Position-Limit Hedge Exemption Pilot Program 77
96-16 3/96 NASD Adds Remote Sites To Deliver Training And Exams 81
96-17 3/96 SOES Tier Levels Set To Change April 1, 1996 83
96-18 3/96 Compliance Desk Will Help Members Report Free-Riding And Withholding Information To NASD; Workshops Scheduled For Late April, Early May 97
96-19 3/96 Annual Check List of NASD Notices to Members 109
96-20 3/96 Good Friday: Trade Date-Settlement Date Schedule 115
96-21 3/96 Nasdaq National Market Additions, Changes, And Deletions As Of February 22, 1996 117
96-22 3/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 28, 1996 121
96-23 3/15/96 Treasury Issues Updated List Of Specially Designated Nationals And Blocked Persons 133
96-24 4/96 SEC Approves Rule Mandating TIF Immobilization; Effective Date: July 1, 1996 143
96-25 4/96 SEC Approves NASD Manual Revisions; Publication Scheduled For May 151
96-26 4/96 SEC Approves Schedule C Changes Regarding Use Of The Modified Series 7 To Qualify Canadian Registrants; Effective Date: April 15, 1996 201
96-27 4/96 Significant Disciplinary Actions Prompt Reentry Into The Regulatory Element Of The Continuing Education Program 203
96-28 4/96 NASD Revises Sanction Guidelines 207
96-29 4/96 Memorial Day: Trade Date-Settlement Date Schedule 209
96-30 4/96 Nasdaq National Market Additions, Changes, And Deletions As Of March 22, 1996 211
96-31 4/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 29, 1996 215
96-32 5/10/96 Members Reminded To Use Best Practices When Dealing In Speculative Securities 233
96-33 5/96 NASD Clarifies Rules Governing RR/IAs 237
96-34 5/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 30, 1996 243
96-35 5/22/96 Mail Vote—NASD Solicits Member Vote On Amendments To The NASD By-Laws To Make By-Laws Consistent With The "Plan of Allocation And Delegation Of Functions By NASD To Subsidiaries"; Last Voting Date: June 22, 1996 263
96-36 6/96 SEC Approves Amendment To The Primary Market-Maker Standards 317
96-37 6/96 Fed Approves Amendments To Regulation T 319
96-38 6/96 Treasury Issues Letter Clarifying Recordkeeping Requirements For Forward Settling Repurchase Agreement Transactions 335
96-39 6/96 Request For Comments On Proposed Changes To Regulations G, T, and U 343
96-40 6/96 SOES Tier Levels Set To Change July 1, 1996 353
96-41 6/96 Independence Day: Trade Date-Settlement Date Schedule 363
96-42 6/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 30, 1996 365
96-43 7/96 SEC Approves NASD By-Laws Amendments Regarding Gross Revenue 381
96-44 7/96 NASD Interprets NASD Rule 2110 And Files Telemarketing Rule Changes With SEC 383
96-45 7/96 NASD Appoints Ombudsman 387
96-46 7/96 CRD Disclosure Conversion 389
96-47 7/96 NASD Regulation, Inc., Expanding Computerized Delivery Sites 393
96-48 7/96 New London Training Center; Registered Representatives In England, Scotland, And Wales Must Comply With Continuing Education Requirements 395
96-49 7/96 Members Reminded To Report Address, Contact Changes To NASD 397
96-50 7/96 Supervisory And Other Obligations Related To Use Of Electronic Media 399
96-51 7/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 28, 1996 401
96-52 8/96 NASD Solicits Member Comments On Proposed Rules Relating To The Sale Of Variable Life Insurance Contracts And Variable Annuity Contracts 425
96-53 8/96 Approval Of Amendments To The Definitions Of Bona Fide Independent Market And Bona Fide Independent Market Maker 439
96-54 8/96 NASD Regulation Reminds Members Of Reporting Obligations Of MSRB Rules G-37 And G-38, And Announces Sanction Guidelines For Failure To Report Form G-37/G-38 443
96-55 8/96 NASD Regulation Offers Software To Help Members Comply With Continuing Education Requirements 447
96-56 8/96 Labor Day: Trade Date-Settlement Date Schedule 451
96-57 8/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 30, 1996 453
96-58 9/96 Approval Of Amendments That Require Members To Provide Information To Other Regulators For Regulatory Purposes 465
96-59 9/96 NASD Solicits Member Comment On Proposed Rule Governing Tape Recording Of Telephone Conversations; Comment Period Expires October 31, 1996 469
96-60 9/96 Clarification Of Members' Suitability Responsibilities Under NASD Rules With Special Emphasis On Member Activities In Speculative And Low-Priced Securities 473
96-61 9/96 NASD Regulation Computerized Delivery Site Transition Continues 475
96-62 9/96 SOES Tier Levels Set To Change October 1, 1996 477
96-63 9/96 Columbus Day: Trade Date-Settlement Date Schedule 485
96-64 9/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 28, 1996 487
96-65 10/96 New SEC Rules On Order Handling And Execution Of Customer Orders 505
96-66 10/96 SEC Expands Scope Of Conduct Rules And Other NASD Rules To Government Securities; Approves New Suitability Interpretation 551
96-67 10/96 Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds 567
96-68 10/96 NASD Solicits Member Comment On Proposed Rules Relating To Prospectus Disclosure Of Cash And Non-Cash Compensation For The Sale Of Investment Company Securities 573
96-69 10/96 Industry/Regulatory Council On Continuing Education Issues Update On The Status Of The Securities Industry Continuing Education Program 579
96-70 10/96 NASD Reminds Members Of Prohibition Against Commercial Use Of Information Filed Under The Federal Election Campaign Act 611
96-71 10/96 Broker/Dealer And Agent Renewals For 1997 613
96-72 10/96 NASD Regulation Computerized Delivery Site Transition To Sylvan Continues 617
96-73 10/96 Members Reminded To Report Executive Representative And Address Changes 619
96-74 10/96 Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule 621
96-75 10/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 3, 1996 623
96-76 11/96 SEC Approves Amendment To IM-8310-2 Regarding The Availability Of Disciplinary Complaints And Disciplinary Decisions Upon Request 641
96-77 11/96 CRD Will Provide Firms With Advisory Messages When Significant Disciplinary Actions Require Reentry Of Individuals Into The Regulatory Element Of The Continuing Education Program 645
96-78 11/96 Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule 649
96-79 11/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 28, 1996 651
96-80 11/27/96 SEC Requests Comments On Proposed Amendments To SEC Rules 17a-3 And 17a-4 661
96-81 12/3/96 SEC Transaction Fees Begin January 1, 1997, On Nasdaq And Other Prompt Last Sale Reported Non-Debt Transactions 677
96-82 12/96 NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence; Comment Period Expires January 30, 1997 681
96-83 12/96 NASD Regulation Solicits Comment On Proposed Rule Relating To Prohibition On Members Receiving Any Payment To Publish A Quotation, Make A Market In An Issuer's Securities, Or Submit An Application In Connection Therewith; Comment Period Expires February 3, 1997 687
96-84 12/96 NASD Regulation Solicits Comment On The Use Of Bond Mutual Fund Risk Ratings In Supplemental Sales Literature; Comment Period Expires February 24, 1997 693
96-85 12/96 Customer Complaint Reporting Rule Update 701
96-86 12/96 NASD Regulation Reminds Members And Associated Persons That Sales Of Variable Contracts Are Subject To NASD Suitability Requirements 705
96-87 12/96 NASD Regulation PROCTOR Transition To Sylvan Continues 707
96-88 12/96 SOES Tier Levels Set To Change January 2, 1997 709
96-89 12/96 NASD 1997 Holiday Schedule 719
96-90 12/96 Trade Date-Settlement Date Schedule For 1997 721
96-91 12/96 Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1996 727