Quarterly Check List of NASD Notices to Members
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SUGGESTED ROUTING* |
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Corporate Finance |
*These are suggested departments only. Others may be appropriate for your firm.
The following NASD Notices to Members were issued during the first quarter of 1989. Each monthly issue costs $15 and can be obtained by sending the payment and a self-addressed mailing label to: NASD Administrative Services, 1735 K Street, NW, Washington, DC 20006-1506.
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Notice |
Date |
Topic |
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89-1 |
1/89 |
Proposed By-Laws Amendment on Filling Vacancies on District Committees |
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89-2 |
1/89 |
Proposed New Rule Re: Business Conduct Of Members |
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89-3 |
1/89 |
Proposed Rule to Restrict Payment of Referral Fees by NASD Members |
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89-4 |
1/89 |
Proposed Mandatory Participation By Clearing Members in Reconfirmation and Pricing Services |
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89-5 |
1/89 |
Insider Trading and Securities Fraud Enforcement Act |
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89-6 |
1/89 |
State Participation in CRD Form BD and BDW Processing |
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89-7 |
1/89 |
Renewal Rosters and Final Adjusted Invoices |
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89-8 |
1/89 |
NASD 1989 Holiday Schedule |
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89-9 |
1/89 |
Trade Date-Settlement Date (for all of 1989) |
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89-10 |
1/89 |
NASDAQ/NMS Additions, Deletions, and Changes as of 12/13/88 |
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89-11 |
2/89 |
Approval of Amendment Re: Advertising and Sales Literature for Investment Company Securities |
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89-12 |
2/89 |
Reporting Suspicious Currency and Other Questionable Transactions to the IRS/Customs Hotline |
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89-13 |
2/89 |
Access to Disciplinary Information on Prospective Employees |
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89-14 |
2/89 |
Approval of Amendments Re: Lost and Stolen Securities Program |
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89-15 |
2/89 |
Rule Amendment to Permit Withdrawal of Quotations from NASDAQ for Market-Maker Vacations |
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89-16 |
2/89 |
Amendment Permitting Indeterminate Compensation in Public Direct Participation Programs |
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89-17 |
2/89 |
Adoption of Rule Amendments Mandating the Automated Submission of Trading Data —Technical Specifications |
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89-18 |
2/89 |
Presidents' Day Trade Date-Settlement Date Schedule |
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89-19 |
2/89 |
NASDQA/NMS Additions, Deletions and Changes of 1/12/89 |
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89-20 |
2/17/89 |
Proposed Amendments to Article III, Sections 1 - 28 of the NASD Rules of Fair Practice — Last Voting Date: March 20, 1989 |
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89-21 |
3/89 |
Proposed Amendment Re: Predispute Arbitration Clauses in Customer Agreements |
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89-22 |
3/89 |
Proposed Amendment Re: Use and Disclosure of Member Names |
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89-23 |
3/89 |
Proposed Amendment Re: Providing Terminated Employees with Form U-5 and Obtaining Prior Form U-5 for Potential Employees |
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89-24 |
3/89 |
Proposed Amendment Re: Definition of a Direct Participation Program |
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89-25 |
3/89 |
SIPC Reimposes Assessments Based on Percentage of Gross |
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89-26 |
3/89 |
SEC Request for Comments — Re: Sales Practices in Pink Sheet Stocks |
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89-27 |
3/89 |
Treasury Finalizes Two Amendments Re: Currency Transactions |
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89-28 |
3/89 |
Approval and Immediate Effectiveness of Definition of "Bona Fide Research" |
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89-29 |
3/89 |
SOES Tier Levels to Change on March 17, 1989, for All NASDAQ/NMS Securities |
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89-30 |
3/89 |
Good Friday Trade Date-Settlement Date Schedule |
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89-31 |
3/89 |
NASDAQ/NMS Additions, Deletions, and Changes as of February 10, 1989 |
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89-32 |
3/89 |
Temporary Receiver Appointed for Investors Center, Inc |