Quarterly Check List of NASD Notices to Members
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the third quarter of 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 |
|
87-42 |
July 1, 1987 |
NASDAQ National Market System Grows to 2,972 Securities With 29 Voluntary Additions on July 7, 1987 |
|
87-43 |
July 1, 1987 |
Adoption of Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Regarding Advertising and Sales Literature for Direct Participation Programs |
|
87-44 |
July 6, 1987 |
Proposed Amendment to Article IIL Section 26(m) of the NASD Rules of Fair Practice Governing Prompt Payment for Investment Company Shares |
|
87-45 |
July 15, 1987 |
NASDAQ National Market System Grows to 2,993 Securities With 20 Voluntary Additions on July 21, 1987 |
|
87-46 |
July 21, 1987 |
SEC Approval of NASD Corporate Governance Standards for NASDAQ/ NMS Issuers and Amendments To Schedule D to the NASD By-Laws Concerning Designation of NASDAQ National Market System (NASDAQ/NMS) Securities |
|
87-47 |
July 22, 1987 |
Request for Comments on a Proposed New Level of Registration, Designated Assistant Representative-Order Processing, Under Schedule C to the NASD By-Laws |
|
87-48 |
July 29, 1987 |
NASDAQ National Market System Grows to 3,019 Securities With 30 Voluntary Additions on August 4, 1987, And One Mandatory Inclusion on August 4,1987 |
|
87-49 |
August 10, 1987 |
New $10 NYSE Series 7 Development Fee to Begin in August |
|
87-50 |
August 10, 1987 |
Amendments to SEC Rules 15c3-l, 17a-3, and I7a-13 Regarding Treatment of Repurchase and Reverse Repurchase Agreements |
|
87-51 |
August 12, 1987 |
Treasury Department Adopts Changes To the Requirements Concerning Financial Recordkeeping and Reporting Of Currency and Foreign Transactions |
|
87-52 |
August 12, 1987 |
Request for Comments on Proposed Amendment to the NASD Board of Governors' Corporate Financing Interpretation Concerning Public Offerings When Proceeds Are Directed to NASD Members |
|
87-53 |
August 12, 1987 |
Request for Comments on Proposed Amendments to NASD By-Laws and Rules of Fair Practice, and Proposed New Government Securities Rules |
|
87-54 |
August 13, 1987 |
NASDAQ National Market System Grows to 3,018 Securities With 8 Additions on August 18, 1987 |
|
87-55 |
August 14, 1987 |
Amendments to NASD Code of Arbitration Procedure Effective July 1, 1987 |
|
87-56 |
August 19, 1987 |
Labor Day: Trade Date-Settlement Date Schedule |
|
87-57 |
August 27, 1987 |
NASDAQ National Market System Grows to 3,039 Securities With 23 Additions on September 1, 1987 |
|
87-58 |
August 31, 1987 |
Amendments to SEC Rule 15c3-3 Regarding Treatment of Hold-in-Custody Repurchase Agreements |
|
87-59 |
August 31, 1987 |
Quarterly Check List of NASD Notices To Members |
|
87-60 |
September 10, 1987 |
NASDAQ National Market System Grows to 3,046 Securities With 11 Additions on September 15, 1987 |
|
87-61 |
September 10, 1987 |
Suggested Escrow Agreement Provisions for Members' Compliance With Securities and Exchange Commission Rule 15c2-4 |
|
87-62 |
September 22, 1987 |
NASD Board of Governors' Decision Concerning Regulation of Market Making by Issuer Affiliates |
|
87-63 |
September 23, 1987 |
Columbus Day: Trade Date-Settlement Date Schedule |