Quarterly Checklist of Notices to Members
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
|
Notice Number |
Date |
Topic |
|
83-1 |
January 6, 1983 |
Real-Time Transaction Reporting in NASDAQ NMS Securities |
|
83-2 |
January 11, 1983 |
Effect of Tax Law Changes on NASD Qualification Examinations |
|
83-3 |
January 19, 1983 |
SEC Approves Amendments to Rule 17f-2 |
|
83-4 |
January 20, 1983 |
Real-Time Transaction Reporting in Additional 100 NASDAQ NMS Securities Effective February 8, 1983 |
|
83-5 |
January 27, 1983 |
Holiday Settlement Schedule - February 1983 |
|
83-6 |
January 31, 1983 |
Proposed Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit Investment Trust Securities |
|
83-7 |
February 3, 1983 |
Solicitation of Comments on SEC Proposed Anti-Internalization Rule |
|
83-8 |
February 4, 1983 |
Amendments to Association's By-Laws |
|
83-9 |
February 14, 1983 |
Appointment of SIPC Trustee for Bell & Beckwith, Toledo, Ohio |
|
83-10 |
February 22, 1983 |
The Tax Equity and Fiscal Responsibility Act of 1983 |
|
83-11 |
February 22 1983 |
Formation of Federal Task Group on Regulation of Financial Services |
|
83-12 |
March 8, 1983 |
Clarification of NASD Filing Requirements for Offerings Made Pursuant to SEC Rule 415 |
|
83-13 |
March 18, 1983 |
Request for Comments on Amendments to Appendix F Concerning Sales Incentives for Direct Participation Programs |
|
83-14 |
March 29, 1983 |
Holiday Settlement Schedule - April 1983 |
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