For Your Information

National Association of Securities Dealers, Inc.

July 1989

Nebraska Begins Participation in CRD Phase II Program

Effective July 1, 1989, the State of Nebraska began participation in CRD Phase II, receipt and review of broker-dealer filings. Nebraska will continue to collect the initial Form BD as well as the fee associated with a request for BD registration in the state. Questions regarding Nebraska's filing requirements should be directed to the State Securities Commission at (402) 471-3445.

For Your Information

National Association of Securities Dealers, Inc.

September 1989

District 12 Sponsors September Seminar in New York

NASD District 12 will sponsor its third annual educational seminar September 26 at the Vista International Hotel in New York City. Directed toward management and financial/operational personnel of NASD members, the seminar will feature more than 30 speakers on topics such as supervision, arbitration, state regulatory issues, and advertising.

For Your Information

National Association of Securities Dealers, Inc.

October 1989

Three NASD District Offices to Hold Major Conferences This Month

Three NASD offices — Districts 5, 8, and 13 - will sponsor major conferences this month.

District 5

The District 5 annual membership meeting and conference, co-sponsored with Tulane Law School, will be Friday, October 6, at the Windsor Court Hotel in New Orleans.

For Your Information

National Association of Securities Dealers, Inc.

November 1989

NASD Files Lawsuit Charging Misuse of Qualification Examination

The NASD filed a lawsuit in the United States District Court for the Northern District of Illinois against Jerry Keith Ostry and North American Chicago Corp. (NACC) for copyright infringement, breach of contract, and misappropriation and misuse of confidential information in connection with the NASD's Corporate Securities Limited Representative Qualification Examination (Series 62).

NASD Encloses New Guide to Information and Services

With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject.

Date Changes for January First Saturday Examination

NASD Imposes $200 Fee for Form 211 Applications

Bulletin Board Designated As "Qualifying Electronic Quotation System"

Member Assessments

The NASD amended Section 1, Schedule A to the NASD By-Laws to increase the credit against a member's annual gross income assessment from 62 to 67 percent for calendar year 1993. The credit will be reduced to 59 percent for 1994.

NASD^® member firms may now order rosters of their registered persons who are subject to the Regulatory Element of the new Securities Industry Continuing Education rules, which were effective July 1, 1995. (See Special Notice to Members 95-13, March 8, 1995).