Quarterly Checklist of Notices to Members
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
|
Notice Number |
Date |
Topic |
|
83-15 |
April 8, 1983 |
Underwriting Compensation Received by Members in Public Corporate Offerings |
|
83-16 |
April 8, 1983 |
Applicability of SEC Rule 10b-6 to Controlled Accounts |
|
83-17 |
April 14, 1983 |
Amendments to Rules Governing Transactions Executed for Persons Associated with Another Member |
|
83-18 |
April 22, 1983 |
43 Additional Securities Are Mandated Into National Market System |
|
83-19 |
April 27, 1983 |
Approval of Revisions to Qualification Requirements of Foreign Issues on NASDAQ |
|
83-20 |
May 2, 1983 |
Quarterly Checklist of Notices to Members |
|
83-21 |
May 5, 1983 |
Gerald Greenspan - Notification of Past Illegal Activities |
|
83-22 |
May 11, 1983 |
Real-Time Transaction Reporting in Additional 57 NASDAQ NMS Securities Effective May 24, 1983 |
|
83-23 |
May 11, 1983 |
Memorial Day Trade Date-Settlement Date Schedule |
|
83-24 |
May 19, 1983 |
Request for Vote on Proposed Corporate Financing Rule |
|
83-25 |
May 27, 1983 |
Request for Comments on Amendment to Corporate Financing Filing Requirements |
|
83-26 |
June 1, 1983 |
Adoption of Amendments to Interpretation on Free-Riding and Withholding |
|
83-27 |
June 6, 1983 |
Appointment of SIPC Trustee for Gibralco, Inc. |
|
83-30 |
June 27, 1983 |
Independence Day Trade Date-Settlement Date Schedule |
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