Notice To Members 95-03

Annual checklist of NASD Notices To Members

Published Date:

January 01, 1995

The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be sent to NASD MediaSource^SM, P.O. Box 9403, Gaithersburg, MD 20898-9403. Credit card telephone orders for bound volumes can be made by telephoning (301) 590-6578, Monday to Friday, 9 a.m. to 5 p.m., Eastern Time.

Notice	Date	Topic	Page
94-1	1/5/94	SEC Approves New Small Order Execution System Rules	1
94-2	1/94	1993-94 Renewal Rosters And Final Adjusted Invoices	5
94-3	1/94	Annual Check List Of NASD Notices to Members	7
94-4	1/94	Presidents' Day: Trade Date-Settlement Date Schedule	13
94-5	1/94	Nasdaq National Market Additions, Changes, And Deletions As Of December 27, 1993	15
94-6	2/94	Solicitation Of Member Comment On Proposed Amendments To The Foreign Associate Provisions Of Schedule C To The NASD By-Laws; Comment Period Expires March 31, 1994	31
94-7	2/94	SEC Approves New NASD Rule Relating To The Obligations And Responsibilities Of Introducing And Clearing Firms	35
94-8	2/94	SEC Approves NASD Rules Governing Access To And Use Of The OTC Bulletin Board Service	39
94-9	2/94	SEC Approves New NASD Rule Governing The Pricing Of Open Orders	43
94-10	2/94	Members Urged To Ensure Timely, Accurate, And Complete Trading Data Submissions	47
94-11	2/94	Special Registration Review Surcharge Takes Effect March 1, 1994	49
94-12	2/94	Nasdaq National Market Additions, Changes, And Deletions As Of January 27, 1994	51
94-13	3/94	SEC Approves Sales-Charge Disclosure Exemption For Money Market Mutual Funds	73
94-14	3/94	NASD Clarifies Compensation Disclosure Requirements For Mutual Funds In Article III, Section 26 Of The NASD Rules Of Fair Practice	75
94-15	3/94	SEC Issues Alert Regarding Stolen Stock Certificates	77
94-16	3/94	NASD Reminds Members Of Mutual Fund Sales Practice Obligations	81
94-17	3/94	SEC Reproposes Large-Trader Reporting System	85
94-18	3/94	Municipal Securities Rulemaking Board Preparing Way For T+3Settlement Of Municipal Securities	87
94-19	3/94	Appointment Of A SIPC Trustee .89
94-20	3/94	Good Friday: Trade Date-Settlement Date Schedule	91
94-21	3/94	Nasdaq National Market Additions, Changes, And Deletions As Of February 24, 1994	93
94-22	4/94	Mail-Vote-NASD Solicits Member Vote On Proposed Amendments To The Pre-Membership Interview Procedures; Last Voting Date: May 31, 1994	105
94-23	4/94	Fixed Income Pricing System (FIPS) Begins Operation	111
94-24	4/94	SEC Approves Amendments To Remove The Member Vote Requirement For Amendments To The Rules Of Fair Practice And Incorporate Appendices Into Rules Of Fair Practice	137
94-25	4/94	SEC Approves Amendments To Filing Requirements For Communications Regarding Mutual Fund Rankings And CMOs Effective June 1, 1994	141
94-26	4/94	SEC Approves Surcharge On Any NASD Member Named As A Party To An Arbitration Proceeding	145
94-27	4/94	Increased Advertising Regulation Department Filing Fees Take Effect May 1, 1994	147
94-28	4/94	Effectiveness Of New Section 46 Of Article III Of The Rules Of Fair Practice Delayed Until September 15, 1994	149
94-29	4/94	SEC Approves Use Of Market-Maker Identifiers For OTCBB And Elimination Of Certain Schedule H Reporting Requirements	151
94-30	4/94	Memorial Day: Trade Date-Settlement Date Schedule	153
94-31	4/94	Nasdaq National Market Additions, Changes, And Deletions As Of March 28, 1994	155
94-32	5/94	SEC Chairman Endorses Periodic Training Of All Registered Personnel	173
94-33	5/94	SEC Approves MSRB Rule G-19 Amendments	175
94-34	5/94	SEC Approves MSRB Rule G-37	177
94-35	5/94	SEC Approves NBCC-Review Subcommittee	193
94-36	5/94	SEC Approves Communication Guidelines For Variable Products	195
94-37	5/94	SEC Issues Interpretive Statement Regarding Municipal Securities Disclosure; Proposes Changes To Rule 15c2-12	201
94-38	5/94	SEC Seeks Comment On Rule 10b-10 Changes And New Rule 15c2-13	215
94-39	5/94	Treasury Implements Buy-In Requirements For Government Securities	217
94-40	5/94	NASD Solicits Member Comment On Trading Activity In Advance Of Research Reports; Comment Period Expires June 15, 1994	219
94-41	5/94	NASD Clarifies Compensation Disclosure Requirements For Mutual Funds	223
94-42	5/94	Nasdaq National Market Additions, Changes, And Deletions As Of April 27, 1994	225
94-43	5/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of April 29, 1994	229
94-44	5/15/94	Board Approves Clarification On Applicability Of Article III, Section 40 Of Rules Of Fair Practice To Investment Advisory Activities Of Registered Representatives	245
94-45	6/94	SEC Approves Schedule E Conflict-Of-Interest Provisions	249
94-46	6/94	NASD Reminds Members Of Their Obligations When Trading Options	255
94-47	6/94	SEC Issues Policy Governing Broker/Dealer Activity On Bank Premises	265
94-48	6/94	SOES Tier Levels Set To Change July 11, 1994	281
94-49	6/94	Independence Day: Trade Date-Settlement Date Schedule	289
94-50	6/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of May 25, 1994	291
94-51	6/94	Nasdaq National Market Additions, Changes, And Deletions As Of May 25, 1994	293
94-52	7/94	Mail Vote-NASD Solicits Member Vote On Proposed Amendments To The NASD By-Laws To Facilitate The NASD Manual Revision; Last Voting Date: August 29, 1994	307
94-53	7/94	Fed Proposes Amendments To Regulation T	315
94-54	7/94	NASD Solicits Public Comment On Approaches Governing Award Of Punitive Damages In Arbitration	319
94-55	7/94	Members Reminded To Report Address, Contact Changes To NASD	345
94-56	7/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of June 28, 1994	347
94-57	7/94	Nasdaq National Market Additions, Changes, And Deletions As Of June 28, 1994	349
94-58	7/15/94	SEC Approves New NASD Limit Order Protection Rule	365
94-59	8/15/94	Rule Proposals Of The Industry/Regulatory Council On Continuing Education	369
94-60	8/94	SEC Approves Guidelines Relating To The Use Of Rankings In Investment Company Advertisements And Sales Literature	381
94-61	8/94	SEC Approves Amendment To Code Of Arbitration Procedure Permitting Arbitrator Disciplinary Referrals	385
94-62	8/94	NASD Solicits Member Comment On The Application Of The NASD Mark-Up Policy To Transactions In Government And Other Debt Securities, And Suitability Obligations To Institutional Customers In Debt And Equity Transactions; Comment Period Expires September 30, 1994	387
94-63	8/94	New Section 46 Of Article III Of The Rules Of Fair Practice Governing The Repricing Of Open Orders Takes Effect September 15, 1994	395
94-64	8/94	Labor Day: Trade Date-Settlement Date Schedule	399
94-65	8/94	Nasdaq National Market Additions, Changes, And Deletions As Of July 28, 1994	401
94-66	8/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of July 29, 1994	405
94-67	8/22/94	NASD Solicits Member Comment On Cash And Non-Cash Compensation For Selling Investment Company And Variable Contract Securities; Comment Period Expires October 3, 1994	429
94-68	8/25/94	SEC Approves Short-Sale Rule For The Nasdaq Stock Market	441
94-69	9/94	Committee On Compensation Practices Requests Comment; Comment Period Expires October 14, 1994	461
94-70	9/94	SEC Approves Adoption Of NASD Limited Partnership Rollup Transaction Rules; Effective Date: November 1, 1994	463
94-71	9/94	SEC Approves Amendments To Trade-Reporting Requirements For Trades Executed Outside Normal Market Hours	481
94-72	9/94	SEC Approves Elimination Of Access Market-Maker Procedures	487
94-73	9/94	SEC Approves Clearance And Settlement Proposal For Nasdaq And OTCBB Market Makers	489
94-74	9/94	NASAA Publishes Form Revisions For Public Comment: Comment Period Expires October 1, 1994	491
94-75	9/94	NASD Requests Comment On Standardized Forms Proposed For DPP Securities; Comment Period Expires October 17, 1994	493
94-76	9/94	Columbus Day: Trade Date-Settlement Date Schedule	501
94-77	9/94	Nasdaq National Market Additions, Changes, And Deletions As Of August 29, 1994	503
94-78	9/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of August 29, 1994	507
94-79	9/23/94	NASD Solicits Member Comment On Board Proposals To Extend Customer Limit-Order Protection; Comment Period Expires November 7, 1994	517
94-80	10/94	SEC Approves NASD Proposal Requiring Members To Annotate Their Affirmative Determinations As To Stock Availability Made In Connection With Short Sales	521
94-81	10/94	SEC Approves NASD Proposal To Require CQS Market-Maker Participation In ITS/CAES And CAES	525
94-82	10/94	NASD Solicits Comment On Proposed Amendment To The Corporate Financing Rule Relating To Rights Of First Refusal; Comment Period Expires November 30, 1994	529
94-83	10/94	NASD Provides Additional Guidance Concerning The Operation Of The NASD Short-Sale Rule	533
94-84	10/94	Broker/Dealer And Agent Renewals For 1994-95	537
94-85	10/94	Veterans' Day And Thanksgiving Day: Trade Date-Settlement Date Schedule	541
94-86	10/94	NASD 1995 Holiday Schedule	543
94-87	10/94	Nasdaq National Market Additions, Changes, And Deletions As Of September 29, 1994	545
94-88	10/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of September 30, 1994	549
94-89	11/94	Fed Amends Regulation T	563
94-90	11/94	Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule	565
94-91	11/94	Nasdaq National Market Additions, Changes, And Deletions As Of October 27, 1994	567
94-92	11/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of October 31, 1994	571
94-93	12/94	NASD Requests Comment On Proposed Rule Governing Registered Persons Lending To Or Borrowing From Customers; Comment Period Expires January 31, 1995	587
94-94	12/94	NASD Requests Comment On Proposed Rule Governing Members Operating On Bank Premises; Comment Period Expires February 15, 1995	589
94-95	12/94	NASD Requests Comment On Proposed Customer Complaint Rules; Comment Period Expires January 31, 1995	595
94-96	12/94	NASD Requests Comment On Disclosure Of Partnership Valuations On Customer Account Statements; Comment Period Expires January 17, 1995	599
94-97	12/94	Treasury Proposed Risk Assessment Rules For Government Securities Brokers/Dealers; Comment Period Expires January 17, 1995	603
94-98	12/94	SEC Approves NASD Listing Requirements Proposal To Prohibit Immediate Delistings Of Units	605
94-99	12/94	Trade Date-Settlement Date Schedule For 1995	607
94-100	12/94	Nasdaq National Market Additions, Changes, And Deletions As Of November 28, 1994	613
94-101	12/94	Fixed Income Pricing System Additions, Changes, And Deletions As Of November 28, 1994	617
94-102	12/23/94	New Exercise Advice Procedures For Expiring Equity Options	631