TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the first quarter of 1986. 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
Notice Number
Date
Topic
86-1
January 2, 1986
Amendments to Venture
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 25, 1986
The Board of Governors of the National Association of Securities Dealers, Inc. (NASD), is seeking comments on a proposed amendment to Article III, Section 19(f) of the NASD Rules of Fair Practice, which would, under certain circumstances, allow performance-type fees. Section 19(f) generally prohibits members or
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 6, 1986, 36 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,337. These 36 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
Attn: Corporate Financing Department
LAST DATE FOR COMMENT: June 6, 1986
The Board of Governors of the National Association of Securities Dealers, Inc. has approved a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, Article III, Section 1 of the NASD Rules of Fair Practice (the Corporate Financing
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 20, 1986, 28 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,363. These 28 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) recently approved amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials," under Article III, Section 1 of the NASD Rules of Fair Practice. 1/ These amendments, which became effective on April 29, 1986, provide for a surcharge and an
TO: All NASD Members and Other Interested Persons
It has come to the NASD's attention that some members are engaging in a practice with regard to settling customer complaints that may involve violations of Article III, Section 1 and Article IV, Section 5 of the NASD Rules of Fair Practice. The staffs of several NASD district offices have encountered difficulties in investigating potential
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, May 26, 1986, in observance of Memorial Day. "Regular-way" transactions made on the business days noted below will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 21, 1986.
Members of the National Association of Securities Dealers, Inc. (NASD), are invited to vote on certain amendments to the NASD Rules of Fair Practice and By-Laws contained in Exhibits A and B to this notice. These amendments are described below. Prior to becoming effective, the
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments by members and other interested persons a proposed amendment to the Code of Procedure that would grant the NASD the discretion to determine whether a hearing should be held in an eligibility proceeding under Article VII,
