Annual Check List of NASD Notices to Members
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The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special issue. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., should be sent to NASD Book Order Department, P.O. Box 9403, Gaithersburg, MD 20898-9403.
|
Notice |
Date |
Topic |
|
91-1 |
1/91 |
Mail Vote: Proposed Amendments to the NASD Rules of Fair Practice Relating to Options Communications |
|
91-2 |
1/91 |
Request for Comments From Members, Issuers, and Investors on Nasdaq Short-Sale Rule |
|
91-3 |
1/91 |
Implementation of Matching Service in SOESSM Limit-Order File |
|
91-4 |
1/91 |
1991 Renewal Roster and Final Adjusted Invoices |
|
91-5 |
1/91 |
NASD 1991 Holiday Schedule |
|
91-6 |
1/91 |
Trade Date-Settlement Date Schedule for 1991 |
|
91-7 |
1/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of December 12, 1990 |
|
91-8 |
1/91 |
Annual Check List of NASD Notices to Members |
|
91-9 |
2/91 |
Request for Comments From Members on Proposed Changes to the Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws |
|
91-10 |
2/91 |
Revised Entry and Annual Fees for Nasdaq System Issuers - Approval of Amendment to Schedule D |
|
91-11 |
2/91 |
SEC Approval of Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events |
|
91-12 |
2/91 |
Board of Governors' Approval of Service Charges for SelectNet™ and SOES |
|
91-13 |
2/91 |
NASD Charges for Reviewing Advertisements and Sales Literature |
|
91-14 |
2/91 |
Presidents' Day - Trade Date-Settlement Date Schedule |
|
91-15 |
2/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of January 11, 1991 |
|
91-16 |
3/91 |
New Statutory Disqualification Categories; Notice to NASD Required No Later Than April 30, 1991 |
|
91-17 |
3/91 |
Good Friday - Trade Date-Settlement Date Schedule |
|
91-18 |
3/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of February 8, 1991 |
|
91-19 |
4/91 |
Mail Vote: Proposed Amendment to Article V, Section 1 of the NASD Rules of Fair Practice Regarding the Suspension of the Membership of Any Member or of the Registration of a Person Associated With a . Member for a Definite Period Assessed as a Sanction for a Rule Violation |
|
91-20 |
4/91 |
Adoption of Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital |
|
91-21 |
4/91 |
Amendments to Schedule H Eliminating the Price and Volume Reporting Thresholds, and Expanding the Definition of Non-Nasdaq Security |
|
91-22 |
4/91 |
SOES Tier Levels to Change for 417 Issues on April 15, 1991 |
|
91-23 |
4/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of March 13, 1991 |
|
91-24 |
5/91 |
Mail Vote: Proposed New Rule Re: Suspension or Cancellation of Registration for Failure to Pay Fees, Dues, or Other Assessments |
|
91-25 |
5/91 |
Proposed Amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts |
|
91-26 |
5/91 |
SEC Approval of Amendment Re: Use and Disclosure of Member Names |
|
91-27 |
5/91 |
SEC Approval of Amendment to Article III, Section 28 of the Rules of Fair Practice Re: Associated Person Notifying Employer Prior to Opening Securities Account With Another Member |
|
91-28 |
5/91 |
Availability of the Series 17 Limited Registered Representative Examination to Qualify Persons Registered With The Securities Association of the United Kingdom as NASD General Securities Representative |
|
91-29 |
5/91 |
Memorial Day - Trade Date-Settlement Date Schedule |
|
91-30 |
5/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of April 12, 1991 |
|
91-31 |
6/91 |
Solicitation of Members' Comments on Proposals to Curb SOES Abuses |
|
91-32 |
6/91 |
Request for Comments on Compensation Arrangements for Activities of Registered Representatives Who Are Also Registered With the Securities and Exchange Commission as Investment Advisers |
|
91-33 |
6/91 |
Request for Comments on Proposed Nonquantitative Designation Criteria for Partnerships Listed on the Nasdaq National Market System |
|
91-34 |
6/91 |
Request for Comments on Amendments to the Filing Requirements of the Interpretation of the Board of Governors - Review of Corporate Financing |
|
91-35 |
6/91 |
Proposed SEC "Penny Stock" Disclosure Rules |
|
91-36 |
6/91 |
Adoption of Amendments to SEC Rule 15c2-11 Regarding Initiation or Resumption of Quotations Without Specified Information |
|
91-37 |
6/91 |
Market-Maker Obligations With Regard to Display of Size in Quotations |
|
91-38 |
6/91 |
Market-Maker Obligations in SelectNetSM |
|
91-39 |
6/91 |
Limitations on Use of "Negative Response" Letters in Switching Customers From One Mutual Fund to Another |
|
91-40 |
6/91 |
SEC Approval of Amendment Regarding Disclosure of Contingent Deferred Sales Charges on Confirmations |
|
91-41 |
6/91 |
Department of Treasury Proposes Significant Amendments to the Regulation Issued on July 24, 1987 Under the Government Securities Act of 1986 |
|
91-42 |
6/91 |
Appointment of SIPC Trustees for Two Firms |
|
91-43 |
6/91 |
Independence Day - Trade Date-Settlement Date Schedule |
|
91-44 |
6/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, Deletions as of May 13, 1991 |
|
91-45 |
7/91 |
NASD/NYSE Joint Memo on Chinese Wall Policies and Procedures |
|
91-46 |
7/91 |
Request for Comments on Exemption for Directly Marketed Mutual Funds From Article III, Section 21(c)(2)(ii) and (iii) of the Rules of Fair Practice Re: Customer Account Information Regarding Employment |
|
91-47 |
7/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of June 12, 1991 |
|
91-48 |
8/91 |
Mail Vote: Proposed New Rule Re: Definition of Branch Office in Article III, Section 27(g)(2) and (g)(3) of the Rules of Fair Practice |
|
91-49 |
8/91 |
Mail Vote: Proposed New Rule Re: Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws |
|
91-50 |
8/91 |
NASD Board Authorizes Industry Committee to Design Program to Assure Continuing Qualifications of Securities Industry Professionals |
|
91-51 |
8/91 |
Request for Comments on Proposed Changes to Schedule C to the NASD By-Laws Regarding the Sale of Partnership Debt by Direct Participation Programs Representatives and Principals |
|
91-52 |
8/91 |
SEC Approval of Amendments to the Resolution of the Board of Governors - Notice to Membership and Press of Suspensions, Expulsions, Revocations, and Monetary Sanctions Under Article V, Section 1 of the Rules of Fair Practice Regarding the Effectiveness of and Publicity on Disciplinary Sanctions |
|
91-53 |
8/91 |
Misuse of Treasury Form PD 1832, "Special Form of Detached Assignment for United States Registered Securities" |
|
91-54 |
8/91 |
Labor Day - Trade Date-Settlement Date Schedule |
|
91-55 |
8/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of July 24, 1991 |
|
91-56 |
9/91 |
SEC Approval of Amendments to Appendix F Concerning Member Participation in Partnership Rollups |
|
91-57 |
9/91 |
Adoption of Amendments to Interpretation of the Board of Governors - Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice Re: Forwarding of Material on the Issuer's Behalf to Beneficial Owners of Nasdaq Securities |
|
91-58 |
9/91 |
Columbus Day - Trade Date-Settlement Date Schedule |
|
91-59 |
9/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of August 23, 1991 |
|
91-60 |
10/91 |
Mail Vote: Proposed Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the NASD By-Laws Regarding Retention of Jurisdiction |
|
91-61 |
10/91 |
SEC Approval of Amendment to Article VI, Sections 3 and 4 of NASD By-Laws Re: Suspension or Cancellation of Registration for Failure to Pay Fees, Dues, or Other Assessments |
|
91-62 |
10/91 |
SEC Approval of Amendments to the NASD Rules of Fair Practice Relating to Options Communications |
|
91-63 |
10/91 |
SEC Approval of Amendments to the NASD Uniform Practice Code |
|
91-64 |
10/91 |
SOES Tier Levels to Change for 487 Issues on October 31, 1991 |
|
91-65 |
10/91 |
Veteran's Day and Thanksgiving Day - Trade Date-Settlement Date Schedule |
|
91-66 |
10/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of September 25, 1991 |
|
91-67 |
10/16/91 |
SEC Approves Rules to Curb SOES Abuse |
|
91-68 |
11/91 |
Mail Vote: Proposed Amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice Re: Cash and Noncash Compensation Received by Members in Connection With the Sale of Investment Company Securities and Variable Contracts |
|
91-69 |
11/91 |
Application of NASD Rules, Interpretations, By-Laws, and Federal Securities Laws to the Secondary Market in Direct Participation Program Interests |
|
91-70 |
11/91 |
SEC Approval and Startup of Nasdaq International™ Service |
|
91-71 |
11/91 |
Broker/Dealer and Agent Renewals for 1991-92 |
|
91-72 |
11/91 |
Enhancements to the Firm Access Query System (FAQS) |
|
91-73 |
11/91 |
Revised Forms U-4 and U-5 Go into Effect |
|
91-74 |
11/91 |
Replacement of Certificates of Deposit by Bond Mutual Funds |
|
91-75 |
11/91 |
Appointment of SIPC Trustee for Three Firms |
|
91-76 |
11/91 |
Christmas Day and New Year's Day - Trade Date-Settlement Date Schedule |
|
91-77 |
11/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of October 23, 1991 |
|
91-78 |
12/91 |
Request for Comments on Member Participation in Partnership Rollups and Listing of Securities Resulting From Rollups on Nasdaq/NMS |
|
91-79 |
12/91 |
Request for Comments on Recision of the Guidelines Regarding Communications With the Public About Investment Companies and Variable Contracts and Proposed Amendments to the NASD Rules of Fair Practice to Incorporate Items From the Guidelines |
|
91-80 |
12/91 |
Request for Comments on Proposed Amendments to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption from the Rule for Negative Comment Letters Used in Certain Bulk Exchanges of Money Market Mutual Funds |
|
91-81 |
12/91 |
Reporting Information on Form BD |
|
91-82 |
12/91 |
Proposed Revision of NASD Manual |
|
91-83 |
12/91 |
NASD 1992 Holiday Schedule |
|
91-84 |
12/91 |
Trade Date-Settlement Date Schedule for 1992 |
|
91-85 |
12/91 |
Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions as of November 25, 1991 |