1998 Notices to Members

 
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December 1998

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98-108 NASD Extends Deadline for Updating Firm Contact Information Via the NASD Regulation Web Site to February 1, 1999
98-107 NASD Reminds Members of Their Obligations to Disclose Mutual Fund Fees
98-106 Trade Date -- Settlement Date Schedule For 1999
98-105 NASD 1999 Holiday Schedule
98-104 Fixed Income Pricing System Additions, Changes, and Deletions as of October 23, 1998
98-103 Maximum SOES Order Sizes Set to Change January 1, 1999
98-102 Calculating Margin for Day-Trading and Cross-Guaranteed Accounts
98-101 NASD Requests Comment on Proposed Amendments to Disclosure Questions on Forms U-4 and U-5;
Comment Period Expired January 15, 1999
98-100 FOCUS Filing Due Dates for 1999
98-099 SEC Issues No-Action Letter on Proprietary Accounts of Introducing Broker/Dealers
98-098 SEC Approves Rule Change Relating to Mutual Fund Breakpoint Sales
98-097 Notice of Increase in Advertising Review Fees
98-096 NASD Elaborates on Member Firms -- Supervision Responsibilities for Trade Reporting and Market-Making Activities
Year 2000 Update
For Your Information
Disciplinary and Other NASD Actions
 

November 1998

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98-095 Fixed Income Pricing System Additions, Changes, and Deletions as of September 23, 1998
98-094 Christmas Day and New Year's Day: Trade Date -- Settlement Date Schedule
98-093 NASD Informs Members of District Committee Members and District Nominating Committee Members
98-092 NASD Regulation Articulates Position on the Application of NASD Rule 2680 to U.S. Broker/Dealers that Intermediate Transactions Pursuant to Exchange Act Rule 15a-6(a)(3)
98-091 NASD Alerts Members to Their Obligations Concerning Cold Calling and Advertising to Persons in the United Kingdom
98-090 New Arbitrator List Selection Rules and Monetary Thresholds for Simplified and Single Arbitration Cases Take Effect
Year 2000 Update
NASD Notice of Meeting and Proxy
Disciplinary and Other NASD Actions
 

October 1998

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98-089 NASD Announces Changes in CRD Filing Fees
98-088 Underwriting Compensation in Public Offerings
98-087 Fixed Income Pricing System Additions, Changes, and Deletions as of August 24, 1998
98-086 Columbus Day, Veterans Day, and Thanksgiving Day: Trade Date -- Settlement Date Schedule
98-085 SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked and Crossed Markets, and Members' Obligation to Provide Nasdaq with Certain Information
98-084 Broker/Dealer and Agent Renewals for 1999
98-083 SEC Approves Rule Change Relating to Standards for Individual Correspondence; Effective November 16, 1998
98-082 SEC Approves Amendments to Automated Confirmation Transaction Service and Transaction Reporting Rules
98-081 NASD Regulation Requests Comment on Whether Some Rules Should be Repealed as Obsolete or Amended to Provide Institutional Customer Exception;
Comment Period Expired February 16, 1999
Year 2000 Update
For Your Information
Disciplinary and Other NASD Actions
 

September 1998

98-080 Nominees for NASD Board of Governors
98-079 Fixed Income Pricing System Additions, Changes, and Deletions as of July 23, 1998
98-078 NASD Clarifies Operation of the Limit Order Protection Rule During Unusual Market Conditions
98-077 Executive Representatives Must Maintain Internet Electronic Mail Account by January 1, 1999; Complimentary Hard Copy Distribution of Key Publications to End January 1, 1999
98-076 Maximum SOES Order Sizes Set to Change October 1, 1998
98-075 SEC Approves Rule Change Relating to Non-Cash Compensation for Mutual Funds and Variable Products
98-074 SEC Approves Rule Amendment Relating to Hearings on Suspensions and Cancellations for Failure to Comply with Arbitration Awards
98-073 Firms Required to Register for Order Audit Trail System; Amendments to OATS Rules
98-072 Regional Nominating Committee Nominees for the National Adjudicatory Council
For Your Information
Disciplinary and Other NASD Actions
 

August 1998

98-071 NASD Regulation Requests Comment On Whether to Modify the Public Disclosure Program to Limit the Period for Disclosure of Certain Criminal Information;
Comment Period Expired September 30, 1998
98-070 Fixed Income Pricing System Additions, Changes, and Deletions as of June 24, 1998
98-069 Labor Day: Trade Date -- Settlement Date Schedule
98-068 Update on the Securities Industry Continuing Education Program
98-067 SEC Approves Amendment To Rule On Fidelity Bonding Requirements; Effective September 15, 1998
98-066 NASD Clarifies Acceptable Customer Access to SelectNet and SOES
Correction - On page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES should read: The SOES rules currently contain a specific provision, NASD Rule 4720(c)(4), that requires SOES order entry firms to maintain the physical security of Nasdaq equipment located on the premises of the firm to prevent unauthorized entry of information into SOES.
98-065 NASD Reminds Members of Obligations Relating to the Short-Sale Rule
98-064 Mail Vote --- NASD Solicits Member Vote on Amendments to NASD By-Laws to Reconfigure NASD Board;
Revised Last Voting Date: September 14, 1998 (Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.)
For Your Information
Disciplinary and Other NASD Actions
 

July 1998

98-063 NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers to File Year 2000 Reports and Releases Year 2000 Survey Results
98-062 District Committee and District Nominating Committee Election Procedures and National Adjudicatory Council Nomination Procedures
98-061 NASD Members Face CRD Account Deduction or Membership Cancellation for Non-payment of Arbitration Fees
98-060 NASD Extends Filing Period for New Equity Trader Examination and Responds to Questions Regarding New Equity Trader Qualification Rule
98-059 SEC Approves Amendments to NASD Rule 1120 (Continuing Education Requirements)
98-058 NASD Manual Now Online
98-057 Fixed Income Pricing System Additions, Changes, and Deletions as of June 24, 1998
98-056 SEC Approves Rule Change Regarding Arbitration of Statutory Employment Disputes; Effective January 1, 1999
98-055 Transaction Reporting and Quotation Obligations Under the Fixed Income Pricing System (FIPS)
98-054 SEC Approves Rule Change Regarding Approval of Research Reports
98-053 Members Reminded to Report Executive Representative and Address Changes
98-052 SEC Approves Taping Rule; Effective August 17, 1998
98-051 Exemptive Relief Under MSRB Rule G-37(i)
98-050 Treasury Updates List of Specially Designated Persons and Entities
98-049 SEC Approves Amendments to Rule Regarding Options Position Limits; Effective June 12, 1998
98-048 SEC Approves Amendments to Free-Riding and Withholding Interpretation; Effective August 17, 1998
98-047 SEC Approves Changes to Books and Records Requirements
For Your Information
Disciplinary and Other NASD Actions
 

June 1998

98-046 Independence Day: Trade Date -- Settlement Date Schedule
98-045 Fixed Income Pricing System Additions, Changes, and Deletions as of May 22, 1998
98-044 SOES Tier-Size Levels Set to Change July 1, 1998
98-043 Federal Reserve System Amends Regulations T, U, and X
98-042 NASD Requests Comment on Proposed Rules Regarding Cease-and-Desist Proceedings;
Comment Period Expired July 31, 1998
For Your Information
Disciplinary and Other NASD Actions
 

May 1998

98-041 Fixed Income Pricing System Additions, Changes, and Deletions as of April 24, 1998
98-040 Nasdaq to Incorporate Trade Acceptance and Reconciliation Service into Automated Confirmation Transaction Service
98-039 NASD Revises Sanction Guidelines
98-038 NASD Reminds Members of Supervisory and Inspection Obligations
For Your Information
Disciplinary and Other NASD Actions
 

April 1998

98-037 Memorial Day: Trade Date -- Settlement Date Schedule
98-036 Fixed Income Pricing System Additions, Changes, and Deletions as of March 25, 1998
98-035 SEC Approves Changes to Continuing Education Rules
For Your Information
Disciplinary and Other NASD Actions
 

March 1998

98-034 SEC Requests Comment on Amendments to Rule 17a-5 Requiring Reports on Year 2000 Preparedness
98-033 SEC Approves New Order Audit Trail System (OATS)
98-032 Good Friday: Trade Date -- Settlement Date Schedule
98-031 Fixed Income Pricing System Additions, Changes, and Deletions as of February 23, 1998
98-030 NASD Office of the Ombudsman Clarifies Its Role
98-029 SOES Tier-Size Levels Set to Change April 1, 1998
98-028 Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
98-027 Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved
For Your Information
Disciplinary and Other NASD Actions
 

February 1998

98-026 SEC Approves Temporary Changes to NYSE Circuit Breaker/Trading Halt Rules
98-025 Fixed Income Pricing System Additions, Changes, and Deletions as of January 23, 1998
98-024 Annual Checklist of NASD Notices to Members
98-023 SEC Requests Comment on Proposed Amendments to Continuing Education Rules
98-022 Year 2000 Frequently Asked Questions
98-021 SEC Approves Amendments to Rule on Clearly Erroneous Transactions
98-020 Treasury Updates List of Specially Designated Persons and Entities
98-019 SEC Requests Comment on Proposed Amendments to Net Capital Rule
98-018 NASD Regulation Permits Electronic Methods for Holding Annual Interviews or Meetings with Registered Representatives
98-017 SEC Approves New NASD Qualification Requirements and Examination for Equity Traders (Series 55)
98-016 SEC Approves New Qualification Examination for Government Securities Representatives (Series 72) and New Registration Requirements for Registered Options Representatives (Series 42)
For Your Information
Disciplinary and Other NASD Actions
 

January 1998

98-015 NASD Regulation Requests Comment on Proposal to Adopt Recommendation and Disclosure Rules for Over-The-Counter (OTC) Equity Securities;
Comment Period Expired March 16, 1998
98-014 NASD Requests Comment on Limiting Quotations on Over-the-Counter Bulletin Board (OTCBB) to Securities of Reporting Issuers;
Comment Period Expired March 16, 1998
98-013 Fixed Income Pricing System Additions, Changes, and Deletions as of December 30, 1997
98-012 Presidents' Day: Trade Date -- Settlement Date Schedule
98-011 SEC Approves Rules Regarding Supervision, Review, and Record Retention of Correspondence; Effective February 15, 1998
98-010 Transaction Reporting and Quotation Obligations Under the Fixed Income Pricing System (FIPS)
98-009 1997-98 Renewal Rosters and Final Adjusted Invoices
98-008 Treasury Requires Reporting of Claims Against Government of North Korea
98-007 Unregistered Foreign Equities and ADRs No Longer Eligible for Quotation in OTC Bulletin Board; Effective April 1, 1998
98-006 SEC Approves Changes to Rules on Market Maker Withdrawals and Reinstatements
98-005 SEC Approves Changes to Third Market Trading Rules
98-004 Reminder of Members' Obligations to Comply with Rule15c2-4
98-003 Electronic Delivery of Information Between Members and Their Customers
98-002 SEC Approves Amendments to Rule 1010, 8000, and 9000 Series to Reflect Changes in NASD Corporate Organization
98-001 Arbitration Process Fees
For Your Information
Disciplinary and Other NASD Actions