Check List of NASD Notices to Members
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. 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. 20006-1506
Fourth Quarter—1986
|
Notice Number |
Date |
Topic |
|
86-67 |
October 2, 1986 |
NASDAQ National Market System Grows To 2,580 Securities With 23 Voluntary Additions on October 7, 1986 |
|
86-68 |
October 6, 1986 |
Proposed Amendment to Article III, Section 35 of the NASD Rules of Fair Practice Relating to Advertising and Sales Literature for Direct Participation Programs |
|
86-69 |
October 10, 1986 |
Amendments to NASD Rules on Short Sales Become Effective October 15, 1986 |
|
86-70 |
October 15, 1986 |
NASDAQ National Market System Grows To 2,602 Securities With 12 Voluntary Additions On October 21, 1986 |
|
86-71 |
October 15, 1986 |
Holiday Settlement Schedule - November 1986 |
|
86-72 |
October 15, 1986 |
SIPC Trustee Appointed -Norbay Securities, Inc. 3635 BeU Boulevard Bayside, New York 11361 |
|
86-73 |
October 16, 1986 |
Effectiveness of Exemption from NASD Board of Governors' Free-Riding Interpretation for Conversions of Savings And Loan Associations and Certain Other Organizations |
|
86-74 |
October 30, 1986 |
Proposed Amendments to Article III, Section 19(f) and Section 33(d) of the NASD Rules of Fair Practice and Article X, Section 6 of the NASD By-Laws |
|
86-75 |
October 30, 1986 |
NASDAQ National Market System Grows To 2,638 Securities With 25 Voluntary Additions on November 4, 1986, and Eight Mandatory Inclusions on November 11, 1986 |
|
86-76 |
November 10, 1986 |
South African Sanctions Act |
|
86-77 |
November 10, 1986 |
SIPC Trustee Appointed -John Franklin <5c Associates 1975 Hempstead Turnpike East Meadow, New York 11554 |
|
86-78 |
November 13, 1986 |
NASDAQ National Market System Grows To 2,658 Securities With 21 Voluntary Additions on November 18, 1986 |
|
86-79 |
November 13, 1986 |
Quarterly Checklist of Notices to Members |
|
86-80 |
November 14, 1986 |
Proposed Changes to the Financial Recordkeeping and Reporting of Currency and Foreign Transactions |
|
86-81 |
November 21, 1986 |
Amendments to Appendix F Regarding Freely Tradable Partnership Units Effective Immediately |
|
86-82 |
November 21, 1986 |
1987 Schedule of Holidays |
|
86-83 |
December 1, 1986 |
Proposed New NASD Rule of Fair Practice Prohibiting Members From Effecting Securities Transactions During Trading Halts |
|
86-84 |
November 26, 1986 |
NASDAQ National Market System Grows To 2,687 Securities With 30 Voluntary Additions on December 2, 1986 |
|
86-85 |
December 5, 1986 |
Request for Comments on Proposed Amendments to Article II, Sections 3, 4 And 5 of the NASD By-Laws |
|
86-86 |
December 15, 1986 |
NASDAQ National Market System Grows To 2,709 Securities With 26 Voluntary Additions on December 16, 1986 |
|
86-87 |
December 16, 1986 |
Christmas Day - New Year's Day: Trade Date-Settlement Date Schedule |
|
86-88 |
December 19, 1986 |
Effect of the Tax Reform Act of 1986 on NASD Qualifications Examinations |
|
86-89 |
December 29, 1986 |
NASDAQ National Market System Grows To 2,734 Securities With 30 Voluntary Additions on January 6, 1987 |
First Quarter—1987
|
Notice Number |
Date |
Topic |
|
87-1 |
January 6, 1987 |
Martin Luther King, Jr.'s Day: Trade Date-Settlement Date Schedule |
|
87-2 |
January 7, 1987 |
Adoption of Amendments to Article III, Section 28 of the NASD Rules of Fair Practice Regarding Securities Accounts Of Associated Persons at Non-NASD Members |
|
87-3 |
January 14, 1987 |
NASDAQ National Market System Grows To 2,729 Securities With 17 Voluntary Additions on January 20, 1987 |
|
87-4 |
January 21, 1987 |
Presidents' Day: Trade Date-Settlement Date Schedule |
|
87-5 |
January 29, 1987 |
NASDAQ National Market System Grows To 2,754 Securities With 24 Voluntary Additions on February 3, 1987 |
|
87-6 |
January 30, 1987 |
Request for Comments on Proposed Amendments to the NASD's Rules of Practice and Procedure for the Small Order Execution System (SOES) |
|
87-7 |
February 10, 1987 |
NASDAQ National Market System Grows To 2,775 Securities With 17 Voluntary Additions on February 17, 1987 |
|
87-8 |
February 17, 1987 |
South African Sanctions Act Regulations |
|
87-9 |
February 19, 1987 |
Proposed Amendments to Article XIV of The NASD By-Laws and Article V, Sections 1 and 2 of the NASD Rules of Fair Practice Concerning Disciplinary Sanctions |
|
87-10 |
February 25, 1987 |
Proposed Amendment to Section 66 of The NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts |
|
87-11 |
February 25, 1987 |
NASDAQ National Market System Grows To 2,788 Securities With 17 Voluntary Additions on March 3, 1987 |
|
87-12 |
February 26, 1987 |
Adoption of Amendment to Schedule G Of the NASD By-Laws |
|
87-13 |
February 27, 1987 |
Proposed Amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws |
|
87-14 |
March 2, 1987 |
Request for Comments on Proposed Amendments to Article I, Section (c) of The NASD By-Laws and Schedule C to The NASD By-Laws Relating to the Definition of the Term "Branch Office" |
|
87-15 |
March 6, 1987 |
Proposed Amendments to Article III, Sections 21(b) and 41 of the NASD Rules Of Fair Practice and the Interpretation Of the Board of Governors Concerning Short Sales |
|
87-16 |
March 10, 1987 |
Request for Comments on Proposed Amendments to Article IV, Sections 3 And 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice |
|
87-17 |
March 11, 1987 |
NASDAQ National Market System Grows To 2,802 Securities With 20 Voluntary Additions on March 17, 1987 |
|
87-18 |
March 25, 1987 |
Good Friday: Trade Date-Settlement Date Schedule |
|
87-19 |
March 27, 1987 |
Federal Regulation of Government Securities Brokers and Dealers Under the Government Securities Act of 1986 |
Second Quarter—1987
|
Notice Number |
Date |
Topic |
|
87-20 |
April 1, 1987 |
Request for Comments on Proposed Amendment to Article V, Section 1 of The NASD Rules of Fair Practice |
|
87-21 |
April 2, 1987 |
NASDAQ National Market System Grows To 2,847 Securities With 37 Voluntary Additions on April 7, 1987 |
|
87-22 |
April 13, 1987 |
Amendments to Resolution of the Board Of Governors Concerning Its Policy on Publication of Disciplinary Actions |
|
87-23 |
April 14, 1987 |
Effectiveness of Amendment to Section 66 of the NASD Uniform Practice Code Regarding Prompt Settlement of Syndicate Accounts |
|
87-24 |
April 14, 1987 |
Request for Comments on Proposed Amendments to Article III, Section 35 of The NASD Rules of Fair Practice |
|
87-25 |
April 14, 1987 |
Request for Comments and Suggestions On Regulation of Market Making by Affiliates of Issuers |
|
87-26 |
April 14, 1987 |
NASDAQ National Market System Grows To 2,850 Securities With 12 Voluntary Additions on April 21, 1987 |
|
87-27 |
April 30, 1987 |
NASDAQ National Market System Grows To 2,873 Securities With 19 Voluntary Additions on May 5, 1987, and Four Mandatory Inclusions on May 12, 1987 |
|
87-28 |
May 4, 1987 |
Memorial Day: Trade Date-Settlement Date Schedule |
|
87-29 |
May 14, 1987 |
NASDAQ/MSE: Unlisted Trading Privileges |
|
87-30 |
May 28, 1987 |
NASDAQ National Market System Grows To 2,893 Securities With 21 Voluntary Additions on May 19, 1987 |
|
87-31 |
May 28, 1987 |
Mark-Ups and Mark-Downs on Zero-Coupon Securities |
|
87-32 |
June 1, 1987 |
Request for Comments on Shareholder Voting Rights Proposal for NASDAQ Companies |
|
87-33 |
June 1, 1987 |
Forms BD and U-4 Revisions, Government Securities Brokers and Dealers Registration Requirements |
|
87-34 |
June 2, 1987 |
NASDAQ National Market System Grows To 2,917 Securities With 28 Voluntary Additions on June 2, 1987 |
|
87-35 |
June 9, 1987 |
NASDAQ National Market System Grows To 2,940 Securities With 23 Voluntary Additions on June 16, 1987 |
|
87-36 |
June 12, 1987 |
Split Expiration of Index Options and Futures on June 19, 1987 |
|
87-37 |
June 16, 1987 |
Proposed Amendment to Article I, Section (c) of the NASD By-Laws Relating to the Definition of the Term "Branch Office" |
|
87-38 |
June 17, 1987 |
Independence Day: Trade Date- Settlement Date Schedule |
|
87-39 |
June 19, 1987 |
Request for Comments on Addition of a Corporate Securities Limited Representative Category of Registration Under Schedule C to the NASD By-Laws |
|
87-40 |
June 22, 1987 |
Request for Comments on a Proposed Amendment to Article III, Section 35 of The NASD Rules of Fair Practice Concerning Testimonials |
|
87-41 |
June 29, 1987 |
Proposed Amendments to Definitions of "Branch Office" and "Office of Supervisory Jurisdiction" Under the NASD By-Laws, Schedule C to the By-Laws, and the Rules of Fair Practice |