Notice to Members 99-18
Annual Checklist Of NASD Notices to Members
Published Date:
SUGGESTED ROUTING |
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Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund |
Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts |
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1998. Duplicate copies are available for $25 per monthly or special issue. A two-volume, bound and indexed edition of the entire year's Notices is also available for $100. Requests, 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 MediaSourceSM, P.O. Box 9403, Gaithersburg, MD 20898- 9403. Credit card telephone orders can be made by calling (301) 590-6142,Monday through Friday, 9 a.m. to 5 p.m., Eastern Time.
| January | Page | |
| 98-1 | Arbitration Process Fees | 3 |
| 98-2 | SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization | 7 |
| 98-3 | Electronic Delivery Of Information Between Members And Their Customers | 13 |
| 98-4 | Reminder Of Members' Obligations To Comply With Rule 15c2-4 | 19 |
| 98-5 | SEC Approves Changes To Third Market Trading Rules | 29 |
| 98-6 | SEC Approves Changes To Rules On Market Maker Withdrawals And Reinstatements | 35 |
| 98-7 | Unregistered Foreign Equities And ADRs No Longer Eligible For Quotation In OTC Bulletin Board; Effective April 1, 1998 | 41 |
| 98-8 | Treasury Requires Reporting Of Claims Against Government Of North Korea | 45 |
| 98-9 | 1997-98 Renewal Rosters And Final Adjusted Invoices | 51 |
| 98-10 | Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS) | 53 |
| 98-11 | SEC Approes Rules Regarding Supervision,Review, And Record Retention Of Correspondence; Effective February 15, 1998 | 59 |
| 98-12 | Presidents' Day: Trade Date-Settlement Date Schedule | 67 |
| 98-13 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 30, 1997 | 69 |
| 98-14 | NASD Requests Comment On Limiting Quotations On Over-The-Counter Bulletin Board (OTCBB) To Securities Of Reporting Issuers; Comment Period Expires February 16, 1998 | 85 |
| 98-15 | NASD Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For Over-The-Counter (OTC) Equity Securities; Comment Period Expires February 16, 1998 | 93 |
| February | Page | |
| 98-16 | SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42) | 101 |
| 98-17 | SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55) | 107 |
| 98-18 | NASD Regulation Permits Electronic Methods For Holding Annual Interviews Or Meetings With Registered Representatives | 111 |
| 98-19 | SEC Requests Comment On Proposed Amendments To Net Capital Rule | 113 |
| 98-20 | Treasury Updates List Of Specially Designated Persons And Entities | 115 |
| 98-21 | SEC Approves Amendments To Rule On Clearly Erroneous Transactions | 123 |
| 98-22 | Year 2000 Frequently Asked Questions | 129 |
| 98-23 | SEC Requests Comment On Proposed Amendments To Continuing Education Rules | 133 |
| 98-24 | Annual Checklist Of NASD Notices to Members | 139 |
| 98-25 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 23, 1998 | 143 |
| 98-26 | SEC Approves Temporary Changes To NYSE Circuit Breaker/Trading Halt Rules | 145 |
| March | Page | |
| 98-27 | Interim Forms U-4 and U-5 Go Into Effect; Interim Form BD Also Approved | 163 |
| 98-28 | Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory | 173 |
| 98-29 | SOES Tier-Size Levels Set To Change April 1, 1998 | 183 |
| 98-30 | NASD Office Of The Ombudsman Clarifies Its Role | 191 |
| 98-31 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 1998 | 193 |
| 98-32 | Good Friday: Trade Date-Settlement Date Schedule | 195 |
| 98-33 | SEC Approves New Order Audit Trail System (OATS) | 219 |
| 98-34 | SEC Requests Comment On Amendments To Rule 17a-5 Requiring Reports On Year 2000 Preparedness | 231 |
| April | Page | |
| 98-35 | SEC Approves Changes To Continuing Education Rules | 245 |
| 98-36 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 25, 1998 | 249 |
| 98-37 | Memorial Day: Trade Date-Settlement Date Schedule | 253 |
| May | Page | |
| 98-38 | NASD Reminds Members Of Supervisory And Inspection Obligations | 273 |
| 98-39 | NASD Reminds Sanction Guidelines | 277 |
| 98-40 | Nasdaq To Incorporate Trade Acceptance And Reconciliation Service Into Automated Confirmation Transaction Service | 281 |
| 98-41 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1998 | 285 |
| June | Page | |
| 98-42 | NASD Regulation Requests Comment On Proposed Rules Regarding Cease-And-Desist Proceedings; Comment Period Expires July 31, 1998 | 309 |
| 98-43 | Federal Reserve System Amends Regulations T, U, And X | 315 |
| 98-44 | SOES Tier-Size Levels Set To Change July 1, 1998 | 319 |
| 98-45 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1998 | 327 |
| 98-46 | Independence Day: Trade Date-Settlement Date Schedule | 329 |
| July | Page | |
| 98-47 | SEC Approves Changes To Books And Records Requirements | 353 |
| 98-48 | SEC Approves Amendments To Free-Riding And Withholding Interpretation; Effective August 17, 1998 | 357 |
| 98-49 | SEC Approves Amendments To Rule Regarding Options Position Limits; Effective June 12, 1998 | 377 |
| 98-50 | Treasury Updates List Of Specially Designated Persons And Entities | 387 |
| 98-51 | Exemptive Relief Under MSRB Rule G-37(i) | 389 |
| 98-52 | SEC Approves Taping Rule; Effective August 17, 1998 | 393 |
| 98-53 | Members Reminded To Report Executive Representative And Address Changes | 403 |
| 98-54 | SEC Approves Rule Change Regarding Approval Of Research Reports | 405 |
| 98-55 | Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS) | 407 |
| 98-56 | SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes; Effective January 1, 1999 | 419 |
| 98-57 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998 | 423 |
| 98-58 | NASD Manual Now On-Line | 425 |
| 98-59 | SEC Approves Amendments To NASD Rule 1120 (Continuing Education Requirements) | 427 |
| 98-60 | NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule | 431 |
| 98-61 | NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees | 451 |
| 98-62 | District Committee And District Nominating Committee Election Procedures And National Adjudicatory Council Nomination Procedures | 453 |
| 98-63 | NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers To File Year 2000 Reports And Releases Year 2000 Survey Results | 465 |
| August | Page | |
| 98-64 | Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board; Last Voting Date: September 9, 1998 | 485 |
| 98-65 | NASD Reminds Members Of Obligations Relating To The Short-Sale Rule | 495 |
| 98-66 | NASD Clarifies Acceptable Customer Access To SelectNet And SOES | 497 |
| 98-67 | SEC Approves Amendment To Rule On Fidelity Bonding Requirements; Effective September 15, 1998 | 503 |
| 98-68 | Update On The Securities Industry Continuing Education Program | 505 |
| 98-69 | Labor Day: Trade Date-Settlement Date Schedule | 525 |
| 98-70 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998 | 527 |
| 98-71 | NASD Regulation Requests Comment On Whether To Modify The Public Disclosure Program To Limit The Period For Disclosure Of Certain Criminal Information; Comment Period Expires September 30, 1998 | 553 |
| September | Page | |
| 98-72 | Regional Nominating Committee Nominees For The National Adjudicatory Council | 561 |
| 98-73 | Firms Required To Register For Order Audit Trail System; Amendments To OATS Rules | 567 |
| 98-74 | SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards | 575 |
| 98-75 | SEC Approves Rule Change Relating To Non-Cash Compensation For Mutual Funds And Variable Products | 577 |
| 98-76 | Maximum SOES Order Sizes Set To Change October 1, 1998 | 587 |
| 98-77 | Executive Representatives Must Maintain Internet Electronic Mail Account By January 1, 1999; Complimentary Hard Copy Distribution Of Key Publications To End January 1, 1999 | 595 |
| 98-78 | NASD Clarifies Operation Of The Limit Order Protection Rule During Unusual Market Conditions | 597 |
| 98-79 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 23, 1998 | 599 |
| 98-80 | Nominees For NASD Board Of Governors | 621 |
| October | Page | |
| 98-81 | NASD Regulation Requests Comment On Whether Some Rules Should Be Repealed As Obsolete Or Amended To Provide Institutional Customer Exception; Comment Period Expires November 30, 1998 | 631 |
| 98-82 | SEC Approves Amendments To Automated Confirmation Transaction Service And Transaction Reporting Rules | 635 |
| 98-83 | SEC Approves Rule Change Relating To Standards For Individual Correspondence; Effective November 16, 1998 | 637 |
| 98-84 | Broker/Dealer And Agent Renewals For 1999 | 645 |
| 98-85 | SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked And Crossed Markets, And Members' Obligation To Provide Nasdaq With Certain Information | 649 |
| 98-86 | Columbus Day, Veterans Day, And Thanksgiving Day: Trade Date-Settlement Date Schedule | 655 |
| 98-87 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 24, 1998 | 657 |
| 98-88 | Underwriting Compensation In Public Offerings | 661 |
| 98-89 | NASD Announces Changes In CRD Filing Fees | 683 |
| November | Page | |
| 98-90 | New Arbitrator List Selection Rules And Monetary Thresholds For Simplified And Single Arbitration Cases Take Effect | 687 |
| 98-91 | NASD Alerts Members To Their Obligations Concerning Cold Calling And Advertising To Persons In The United Kingdom | 695 |
| 98-92 | NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3) | 697 |
| 98-93 | NASD Informs Members Of District Committee Members And District Nominating Committee Members | 699 |
| 98-94 | Christmas Day And New Year's Day: Trade Date-Settlement Date Schedule | 711 |
| 98-95 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1998 | 713 |
| December | Page | |
| 98-96 | NASD Elaborates On Member Firms' Supervision Responsibilities For Trade Reporting And Market-Making Activities | 731 |
| 98-97 | Notice Of Increase In Advertising Review Fees | 737 |
| 98-98 | SEC Approves Rule Change Relating To Mutual Fund Breakpoint Sales | 739 |
| 98-99 | SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers | 741 |
| 98-100 | FOCUS Filing Due Dates For 1999 | 751 |
| 98-101 | NASD Requests Comment On Proposed Amendments To Disclosure Questions On Forms U-4 And U-5; Comment Period Expires January 15, 1999 | 753 |
| 98-102 | Calculating Margin For Day-Trading And Cross-Guaranteed Accounts | 759 |
| 98-103 | Maximum SOES Order Sizes Set To Change January 1, 1999 | 765 |
| 98-104 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 23, 1998 | 773 |
| 98-105 | NASD 1999 Holiday Schedule | 775 |
| 98-106 | Trade Date-Settlement Date Schedule For 1999 | 777 |
| 98-107 | NASD Reminds Members Of Their Obligations To Disclose Mutual Fund Fees | 783 |
| 98-108 | NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1, 1999 | 805 |