Notice to Members 98-24
Annual Checklist Of NASD Notices To Members
Published Date:
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The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $25 per monthly or special issue. A two-volume, bound and indexed edition of the entire year's Notices is also available for $100. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be sent to NASD MediaSourceSM, P.O. Box 9403, Gaithersburg, MD 20898-9403. Credit card telephone orders can be made by calling (301) 590-6142, Monday through Friday, 9 a.m. to 5 p.m., Eastern Time.
| January | Page | 97-1 | Approval Of Telemarketing Amendments | 3 |
| 97-2 | Presidents' Day Trade Date-Settlement Date | 7 |
| 97-3 | Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1996 | 9 |
| February | ||
| 97-4 | NASD Reminds Members About Treasury's Foreign Assets Control Regulations | 27 |
| 97-5 | Annual Check List Of NASD Notices To Members | 37 |
| 97-6 | Good Friday: Trade Date-Settlement Date Schedule | 43 |
| 97-7 | Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 1997 | 45 |
| March | ||
| 97-8 | SEC Approves Quotation And Transaction Reporting Of Direct Participation Programs | 63 |
| 97-9 | Industry/Regulatory Council On Continuing Education Issues Continuing Education Program Firm Element Advisory | 75 |
| 97-10 | SEC To Approve Amendments To NASD Rules To Facilitate Compliance With SEC Regulation M | 85 |
| 97-11 | NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members; Comment Period Expires April 30, 1997 | 101 |
| 97-12 | NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information; Comment Period Expires April 30, 1997 | 107 |
| 97-13 | Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds | 113 |
| 97-14 | NASD Files With The SEC Proposed Amendment To Regulate The Disclosure Of Values For Illiquid Direct Participation Program And Real Estate Investment Trust Securities On Customer Account Statements | 119 |
| 97-15 | SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale | 125 |
| 97-16 | NASD Updates Year 2000 Activities And Advises Members | 127 |
| 97-17 | SOES Tier Levels Set To Change April 1, 1997 | 129 |
| 97-18 | Fixed Income Pricing System Additions, Changes, And Deletions As Of February 21, 1997 | 139 |
| April | ||
| 97-19 | NASD Regulation And New York Stock Exchange Memorandum Discusses Sweep Report And Provides Guidance On Heightened Supervision Recommendations | 155 |
| 97-20 | Members Reminded To Report Executive Representative And Address Changes | 165 |
| 97-21 | Memorial Day: Trade Date-Settlement Date Schedule | 167 |
| 97-22 | Fixed Income Pricing System Additions, Changes, And Deletions As Of March 24, 1997 | 169 |
| May | ||
| 97-23 | 1997 Direct Participation Program Directory | 183 |
| 97-24 | "Limited Edition" Treasury Securities | 215 |
| 97-25 | NASD Interpretive Position-NASD Rule 3050-Transactions For Or By Associated Persons | 217 |
| 97-26 | NASD Regulation Files Amendment To Bank Broker/Dealer Rule With The SEC | 219 |
| 97-27 | Application Of NASD Conduct Rules To Group Variable Contracts And Other Exempted Securities | 225 |
| 97-28 | Approval Of Investment Company Rankings Amendments | 227 |
| 97-29 | NASD Regulation Discusses Member Disclosure Obligations And Requests Comment On The Appropriateness Of Adopting A Rule Governing Risk Disclosure; Comment Period Expires June 30, 1997 | 229 |
| 97-30 | NASD Regulation Requests Comment On Amendments To The Free-Riding And Withholding Interpretation; Comment Period Expires June 16, 1997 | 235 |
| 97-31 | NASD Reminds Registered Persons Of Continuing Obligation To Update NASD Records | 243 |
| 97-32 | NASD Regulation Files Proposed Changes To Disciplinary, Election, And Membership Procedures With The SEC | 245 |
| 97-33 | Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1997 | 247 |
| June | ||
| 97-34 | Depository Trust Company To Launch Initial Public Offering Tracking System | 267 |
| 97-35 | Treasury's Foreign Assets Control Office Updates List Of Specially Designated Persons And Entities | 271 |
| 97-36 | NASD Interpretive Letters | 285 |
| 97-37 | NASD Regulation Requests Comment On Proposed Definition Of Correspondence For Rules Regarding Communications With The Public; Comment Period Expires July 15, 1997 | 291 |
| 97-38 | SOES Tier Levels Set To Change July 1, 1997 | 301 |
| 97-39 | Independence Day: Trade Date-Settlement Date Schedule | 309 |
| 97-40 | Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1997 | 311 |
| Special June 1997 | ||
| 97-41 | NASD Requests Comment On Use Of Decimal Pricing In The Nasdaq Stock Market; Comment Period Expires July 15, 1997 | 325 |
| July | ||
| 97-42 | SEC Approves Amendments Relating To The Release Of Disciplinary Information | 335 |
| 97-43 | SEC Amends Broker/Dealer Record Retention Rule | 341 |
| 97-44 | Fixed Income Pricing System Additions, Changes, And Deletions As Of June 20, 1997 | 349 |
| August | ||
| 97-45 | Corrected List Of SOES Tier Size Levels Effective July 1, 1997 | 363 |
| 97-46 | SEC Approves Rule Prohibiting Payments For Market Making | 371 |
| 97-47 | NASD Regulation Requests Comment On Presentation Of Related Performance Information; Comment Period Expires September 29, 1997 | 377 |
| 97-48 | NASD Regulation Requests Comment On Amendments To Rules Governing Sale And Distribution Of Investment Company Shares And Variable Insurance Products; Comment Period Expires September 29, 1997 | 387 |
| 97-49 | Compliance With SEC Order Handling Rules And Nasdaq Trading Rules | 401 |
| 97-50 | NASD Regulation Requests Comment On Regulation Of Payment And Receipt Of Cash Compensation Incentives; Comment Period Expires October 15, 1997 | 405 |
| 97-51 | NASD Regulation Grants Two Conditional Exemptions Under MSRB Rule G-37 | 413 |
| 97-52 | SEC Approves Amendments Relating To Market Maker Registration And Primary Market Maker Eligibility By Managers And Co-Managers Of Secondary Offerings | 417 |
| 97-53 | Labor Day: Trade Date-Settlement Date Schedule | 419 |
| 97-54 | Fixed Income Pricing System Additions, Changes, And Deletions As Of July 25, 1997 | 421 |
| Special August 1997 | ||
| 97-55 | New Membership Application Rules, New Code Of Procedure, And Other New Disciplinary Rules | 437 |
| September | ||
| 97-56 | Intermarket Surveillance Group Issues New Automated Reporting Requirements | 447 |
| 97-57 | NASD Interpretations Of SEC Order Handling Rules, NASD Limit Order Protection Rules, And Member Best Execution Responsibilities | 457 |
| 97-58 | NASD Regulation Requests Comment On Proposed Interpretive Material 1031 Regarding Cold Calling Activity; Comment Period Expires October 31, 1997 | 463 |
| 97-59 | NASD Regulation Requests Comment On Injunctive Relief And Expedited Proceedings; Comment Period Expires October 31, 1997 | 469 |
| 97-60 | SEC Approves New Procedures For Granting Exemptions To NASD Rules | 477 |
| 97-61 | SOES Tier Size Levels Set To Change October 1, 1997 | 485 |
| 97-62 | SEC Transaction Fees For Off-Exchange Transactions In Exchange-Registered Securities; Refinement Of SEC Fee Algorithm | 493 |
| 97-63 | Columbus Day: Trade Date-Settlement Date Schedule | 495 |
| 97-64 | Fixed Income Pricing System Additions, Changes, And Deletions As Of August 22, 1997 | 497 |
| 97-65 | Administrative Termination Of Registrations Inactive For Two Years For Failing To Comply With Continuing Education Regulatory Element Requirements; CRD To Provide Firms With Advisory Messages | 499 |
| Special September 1997 | ||
| 97-66 | Industry/Regulatory Council On Continuing Education Publishes Firm Element Practices And Council Commentary | 517 |
| October | ||
| Special October 1997 | ||
| 97-67 | NASD Regulation Institutes Firm Quote Compliance | 519 |
| 97-68 | SEC Approves Amendment To Definition Of Qualified Independent Underwriter In Conduct Rule 2720; Effective September 4, 1997 | 529 |
| No Notice has been designated as 97-69 | ||
| 97-70 | Broker/Dealer And Agent Renewals For 1998 | 535 |
| 97-71 | NASD To Deduct Unpaid Arbitration Fees From Member Deposit Accounts | 539 |
| 97-72 | Veteran's Day And Thanksgiving Day: Trade Date-Settlement Date Schedule | 541 |
| 97-73 | Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1997 | 543 |
| 97-74 | SEC Approves Amendments To Legal Definition Of Short Sale | 545 |
| Special October 14, 1997 | ||
| 97-75 | Mail Vote-NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board; Last Voting Date: November 13, 1997 | 563 |
| November | ||
| 97-76 | Nasdaq Eliminates Excess Spread Rule For Nasdaq Securities | 657 |
| 97-77 | NASD Regulation Requests Comment On Proposed Rule Regarding Forms U-4 And U-5, Qualified Immunity, And Advance Employee Notice; Comment Period Expires December 31, 1997 | 659 |
| 97-78 | SEC Approves Rule Relating To Distribution Of Information Concerning NASD Regulation's Public Disclosure Program | 667 |
| 97-79 | NASD Regulation Requests Comment On Proposed Amendment To Rule Governing Clearing Agreements; Comment Period Expires December 1, 1997 | 669 |
| 97-80 | SEC Approves Amendments To Syndicate Short Covering Requirements And Other Related Amendments; Effective Immediately | 677 |
| 97-81 | NASD Regulation Requests Comment On Proposed Amendments Relating To Compensation For Sale Of Public Offerings Of Direct Participation Programs; Comment Period Expires January 9, 1998 | 681 |
| 97-82 | SEC Approves Amendments To Conduct Rules 2710 And 2720 Regarding Mergers, Acquisitions, And Exchange Offers; Effective December 15, 1997 | 691 |
| 97-83 | Exemption From SEC Rule 15c2-11 For Certain Securities Delisted From Nasdaq | 699 |
| 97-84 | Christmas Day And New Year's Day; Trade Date-Settlement Date Schedule | 701 |
| 97-85 | Fixed Income Pricing System Additions, Changes, And Deletions As Of October 24, 1997 | 703 |
| Special November 15, 1997 | ||
| 97-86 | Nominees For NASD Board Of Governors | 719 |
| December | ||
| 97-87 | Treasury Updates List Of Specially Designated Persons And Entities | 729 |
| 97-88 | SEC Approves Amendment To Three Quote Rule Granting Staff Exemptive Authority; Effective Immediately | 733 |
| 97-89 | SEC Approves Bank Broker/Dealer Rule; Effective February 15, 1998 | 735 |
| 97-90 | SOES Tier-Size Levels Set To Change January 1, 1998 | 747 |
| 97-91 | NASD Reminds Members Of Obligations Under Free-Riding And Withholding Interpretation | 755 |
| 97-92 | NASD Regulation Requests Comment On Proposal To Discontinue Complimentary Hard Copy Distribution Of Notices To Members And Regulatory & Compliance Alert; Comment Period Expires January 31, 1998 | 757 |
| 97-93 | Trade Date-Settlement Date Schedule For 1998 | 761 |
| 97-94 | NASD 1998 Holiday Schedule | 767 |
| 97-95 | Fixed Income Pricing System Additions, Changes, And Deletions As Of November 21, 1997 | 769 |
| Special December 1997 | ||
| 97-96 | Member Requirement: NASD Members Must Complete Year 2000 Compliance Survey | 783 |
| Special December 30, 1997 | ||
| 97-97 | Mail Vote—NASD Solicits Member Vote On Amendments To NASD By-Laws To Require Members To Update Information Electronically And Maintain Electronic Mail Accounts; And For Other Purposes; Last Voting Date: January 30, 1998 | 787 |