For Your Information

National Association of Securities Dealers, Inc.

November 1989

NASD Files Lawsuit Charging Misuse of Qualification Examination

The NASD filed a lawsuit in the United States District Court for the Northern District of Illinois against Jerry Keith Ostry and North American Chicago Corp. (NACC) for copyright infringement, breach of contract, and misappropriation and misuse of confidential information in connection with the NASD's Corporate Securities Limited Representative Qualification Examination (Series 62).

NASD Encloses New Guide to Information and Services

With this issue of Notices to Members, NASD members are receiving the new edition of the NASD Guide to Information and Services. The Guide is arranged by subject headings and includes the names and phone numbers for NASD contacts on each subject.

Date Changes for January First Saturday Examination

NASD Imposes $200 Fee for Form 211 Applications

Bulletin Board Designated As "Qualifying Electronic Quotation System"

Member Assessments

The NASD amended Section 1, Schedule A to the NASD By-Laws to increase the credit against a member's annual gross income assessment from 62 to 67 percent for calendar year 1993. The credit will be reduced to 59 percent for 1994.

NASD^® member firms may now order rosters of their registered persons who are subject to the Regulatory Element of the new Securities Industry Continuing Education rules, which were effective July 1, 1995. (See Special Notice to Members 95-13, March 8, 1995).

SEC Approves Amendment To Section 65 Of Uniform Practice Code

To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.