Annual Check List of NASD Notices to Members
| SUGGESTED ROUTING:* |
Corporate Finance |
The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or special issue. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., should be sent to NASD Book Order Department, P.O. Box 9403, Gaithersburg, MD 20898-9403.
|
Notice |
Date |
Topic |
|
90-1 |
1/90 |
Proposed Amendment to Schedule C to the NASD By-Laws Re: Fees Charged by Members to Applicants for Registration |
|
90-2 |
1/90 |
Supervisory Obligations for Members That Employ or Intend to Employ Statutorily Disqualified Persons |
|
90-3 |
1/90 |
1990 Registration Renewal Rosters and Final Adjusted Invoices |
|
90-4 |
1/90 |
Trade Date-Settlement Date Schedule for 1990 |
|
90-5 |
1/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of December 12, 1989 |
|
90-6 |
1/90 |
Annual Check List of NASD Notices to Members |
|
90-7 |
2/90 |
Presidents' Day: Trade Date-Settlement Date Schedule |
|
90-8 |
2/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of January 11, 1990 |
|
90-9 |
2/21/90 |
Mandatory Participation by Self-Clearing Firms in the Automated Confirmation Transaction (ACT) Service Begins March 1, 1990 |
|
90-10 |
3/90 |
Mail Vote: Proposed Corporate Financing Rule |
|
90-11 |
3/90 |
Mail Vote: Proposed Amendment Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations |
|
90-12 |
3/90 |
Mail Vote: Proposed Amendments to Article III, Sections 2 and 21(c) of the Rules of Fair Practice Re: Customer Account Information |
|
90-13 |
3/90 |
Mail Vote: Proposed Technical Amendment to Pending Prompt Receipt Rule |
|
90-14 |
3/90 |
Mail Vote: Proposed Amendments to Article III, Section 35 of NASD's Rules of Fair Practice Re: Communications With the Public |
|
90-15 |
3/90 |
Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990 |
|
90-16 |
3/90 |
New Interim Criteria for Initial Inclusion in the Nasdaq System |
|
90-17 |
3/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of February 9, 1990 |
|
90-18 |
3/19/90 |
SEC Staff Interpretations of Rule 15c2-6 |
|
90-19 |
4/90 |
Proposed Amendments to the NASD By-Laws and Code of Procedure to Implement the Recommendations of the Special Committee on NASD Structure and Governance |
|
90-20 |
4/90 |
Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 of the NASD Rules of Fair Practice |
|
90-21 |
4/90 |
Collection of Fines and Costs in Disciplinary Proceedings |
|
90-22 |
4/90 |
SOES Tier Levels to Change for 416 Issues on April 16, 1990 |
|
90-23 |
4/90 |
Administrative Conversion of the Series 7 General Securities Representative Examination to PLATO Computer-Based Delivery |
|
90-24 |
4/90 |
Good Friday: Trade Date-Settlement Date Schedule |
|
90-25 |
4/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of March 15, 1990 |
|
90-26 |
4/16/90 |
Proposed Amendments to Subsections (b)(4) and (d) of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation of Asset-Based Sales Charges by the NASD |
|
90-27 |
5/90 |
Mail Vote: Proposed Amendment to Article III, Section 26 of the NASD Rules of Fair Practice Re: Disclosure of Deferred Sales Charges on Confirmations of the Sale of Investment Company Shares |
|
90-28 |
5/90 |
Automated Confirmation Transaction (ACT) Service Fees |
|
90-29 |
5/90 |
SEC Approval of New Schedule I to the NASD By-Laws Establishing and Setting Rules for The PORTALSM Market for Primary Distributions and Secondary Trading of Private Placements |
|
90-30 |
5/90 |
New Nasdaq Listing and Maintenance Standards |
|
90-31 |
5/90 |
Electronic Filing of Forms U-5 and Amendments to Form U-4 |
|
90-32 |
5/90 |
Revised Forms U-4 and U-5 Go Into Effect |
|
90-33 |
5/90 |
Memorial Day: Trade Date-Settlement Date Schedule |
|
90-34 |
5/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of April 12, 1990 |
|
90-35 |
5/9/90 |
SEC Approval for and Startup of the OTC Bulletin Board |
|
90-36 |
6/90 |
Mail Vote: Proposed Amendments to the NASD By-Laws Implementing the Recommendations of the Special Committee on NASD Structure and Governance |
|
90-37 |
6/90 |
Mail Vote: Proposed New Rule Re: Handling Customer Limit Orders |
|
90-38 |
6/90 |
Proposed Concept for Continuing Assessment of Registered Representatives in the Form of Amendment to Part III, Section (1)(d) of Schedule C to the NASD By-Laws |
|
90-39 |
6/90 |
Amendments to Schedule E to the NASD By-Laws Regarding Potential Conflicts of Interest |
|
90-40 |
6/90 |
SEC Approval of an Amendment to Schedule H to the NASD By-Laws Requiring Members to Demonstrate Compliance With Rule 15c2-11 Before Initiating Quotations in a Quotation Medium |
|
90-41 |
6/90 |
Independence Day: Trade Date-Settlement Date Schedule |
|
90-42 |
6/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of May 14, 1990 |
|
90-43 |
7/90 |
Proposed Amendment to Part I, Schedule C to the NASD By-Laws |
|
90-44 |
7/90 |
SEC Approval of Amendment to Code of Procedure Regarding Summary Remedial Proceedings, Effective July 1, 1990 |
|
90-45 |
7/90 |
SEC Approval of Amendments to Articles II and III of the NASD's Code of Procedure Regarding Board of Governors and Committee Proceedings in Disciplinary Actions, Effective August 1, 1990 |
|
90-46 |
7/90 |
Reporting Disciplinary Information on Form BD |
|
90-47 |
7/90 |
Amendments to Code of Arbitration Procedure |
|
90-48 |
7/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of June 14, 1990 |
|
90-49 |
7/90 |
SIPC Trustee Appointed for First Ohio Securities Company |
|
90-50 |
8/90 |
Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying and Obtaining Approval of Employer Prior to Opening Securities Account With Another Member |
|
90-51 |
8/90 |
SEC Approval of Amendment to Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities |
|
90-52 |
8/90 |
SEC Approval of Amendments to Article III, Sections 2 and 21(c) of the Rules of Fair Practice Re: Customer Account Information |
|
90-53 |
8/90 |
Labor Day: Trade Date-Settlement Date Schedule |
|
90-54 |
8/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of July 13, 1990 |
|
90-55 |
8/3/90 |
SIPC Trustee Appointed for Blinder, Robinson & Company, Inc. |
|
90-56 |
9/90 |
Mail Vote: Proposed Amendments to Subsections (b) ("Definitions") and (d) ("Sales Charge Rule") of Article III, Section 26 of the NASD Rules of Fair Practice Re: Regulation by the NASD of Mutual Fund Asset-Based Sales Charges |
|
90-57 |
9/90 |
Implementation of Amendment to Rules of Practice and Procedures for the Small Order Execution System Re: Market Makers' Entry of Agency Orders into SOES, Effective July 27, 1990 |
|
90-58 |
9/90 |
Clarification of Schedule H Reporting Requirements |
|
90-59 |
9/90 |
Columbus Day: Trade Date-Settlement Date Schedule |
|
90-60 |
9/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of August 13, 1990 |
|
90-61 |
10/90 |
Mail Vote: Proposed Amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 and Article V, Sections 1 and 3 of the NASD Rules of Fair Practice Re: Retention of Jurisdiction Over Member Firms and Associated Persons |
|
90-62 |
10/90 |
Mail Vote: Proposed Amendment Re: Use and Disclosure of Member Names |
|
90-63 |
10/90 |
Mail Vote: Amendment to Proposed Rule Re: Disclosure of Payment for Order Flow Practices on Customer Confirmations |
|
90-64 |
10/90 |
Amendments to the NASD By-Laws and to Schedule B Thereof to Modify the Size and Composition of the Board of Governors and the Number and Configuration of the Districts, Effective September 4, 1990 |
|
90-65 |
10/90 |
Suggested Customer Suitability Statement and Agreement to Purchase Form for Members' Compliance With SEC Rule 15c2-6 |
|
90-66 |
10/90 |
Proposed Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital |
|
90-67 |
10/90 |
SOES Tier Levels to Change for 450 Issues on October 15, 1990 |
|
90-68 |
10/90 |
Amendment to Schedule C of the NASD By-Laws Regarding Requalification by Examination for Persons Whose Registration Has Been Revoked, Effective October 1, 1990 |
|
90-69 |
10/90 |
Amendment to Schedule C of the NASD By-Laws Regarding Use of the Modified General Securities Representative Examination to Qualify Persons Registered With the Securities Association of the United Kingdom, Effective Immediately |
|
90-70 |
10/90 |
Veteran's Day: Trade Date-Settlement Date Schedule |
|
90-71 |
10/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of September 13, 1990 |
|
90-72 |
10/90 |
SIPC Trustee Appointed for DFW Clearing, Inc. |
|
90-73 |
11/90 |
Mail Vote: Proposed Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member |
|
90-74 |
11/90 |
Proposed Amendment to Article IV, Section 1 of the NASD Rules of Fair Practice Re: the Suspension of the Membership of Any Member or of the Registration of a Person Associated With a Member for a Definite Period Assessed As a Penalty for a Rule Violation |
|
90-75 |
11/90 |
New Requirement for Market Makers to Display Size in Quotations |
|
90-76 |
11/90 |
Broker-Dealer and Agent Renewals for 1990 |
|
90-77 |
11/90 |
Thanksgiving Day: Trade Date-Settlement Date Schedule |
|
90-78 |
11/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of October 11, 1990 |
|
90-79 |
12/90 |
Receipt of Differential Compensation for Soliciting Proxies in Partnership Roll-Ups |
|
90-80 |
12/90 |
SEC Approval of Risk Management Functions of the Automated Confirmation Transaction Service |
|
90-81 |
12/90 |
Amendments to the Code of Procedure to Change the Disciplinary Process and Provide That Decisions of the National Business Conduct Committee Are Final Actions of the NASD |
|
90-82 |
12/90 |
Inclusion of Non-SRO Arbitration Forum as an Alternative Forum in Predispute Arbitration Agreements |
|
90-83 |
12/90 |
Christmas Day and New Year's Day: Trade Date-Settlement Date Schedule |
|
90-84 |
12/90 |
Nasdaq National Market System Additions, Changes, and Deletions as of November 13, 1990 |
|
90-85 |
12/90 |
SIPC Trustee Appointed for Carolina First Securities Group |