Notice To Members 87-87

TO: All NASD Members and Other Interested Persons

LAST DATE FOR COMMENT: JANUARY 30, 1988.

EXECUTIVE SUMMARY

The NASD is requesting comments on proposed amendments to Schedule E to the NASD By-Laws relating to the definition of a qualified independent underwriter. A qualified independent underwriter is required by Schedule E to establish the price and conduct due diligence in public offerings of securities of a member or an affiliate of a member.

Notice To Members 88-1

IMPORTANT MAIL VOTE

OFFICERS, PARTNERS, PROPRIETORS

TO: All NASD Members

LAST VOTING DATE IS FEBRUARY 4, 1988.

EXECUTIVE SUMMARY

NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986.

Notice To Members 88-2

TO: All NASD Members and Municipal Securities Bank Dealers

ATTN: All Operations Personnel

The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 18, 1988. On January 18, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking institutions will be closed.

Trade Date-Settlement Date Schedule For "Regular Way" Transactions

Notice To Members 88-4

TO: All NASD Members and Level 2 and Level 3 Subscribers

On Tuesday, January 19, 1988, the following four issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,040:

Symbol*

Company

Notice To Members 88-5

TO: All NASD Members and Other Interested Persons

LAST DATE FOR COMMENT: FEBRUARY 14, 1988.

EXECUTIVE SUMMARY

The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.

Notice To Members 88-6

TO: NASD Members and Other Interested Persons

BACKGROUND

On January 11, 1988, the Securities and Exchange Commission approved the Order Confirmation Transaction (OCT) service, a new communications enhancement for the NASDAQ System.

The SEC granted approval for a period of 90 days under the accelerated approval provisions of the Securities Exchange Act of 1934. During this 90-day period, the SEC is soliciting public comment as a basis for taking final action on the service.

Notice To Members 88-7

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

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