Notices

Notice To Members 92-50
Procedures Regarding Securities and Exchange Commission Rule 15c2-11 and Schedule H, Section 4 of the NASD® By-Laws
Thursday, October 01, 1992
Notice To Members 92-43
Labor Day — Trade Date-Settlement Date Schedule
Saturday, August 01, 1992
Notice To Members 92-44
Appointment of a SIPC Trustee for Two Firms
Saturday, August 01, 1992
Notice To Members 92-45
SEC Adopts Temporary Risk Assessment Rules
Saturday, August 01, 1992
Notice To Members 92-39
Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks
Wednesday, July 01, 1992
Notice To Members 92-36
Proposed Amendment to Article III, Section 35 of the NASD's Rules of Fair Practice And Section 8 of the NASD's Government Securities Rules to Require Members to Prefile Advertisements for Collateralized Mortgage Obligations; Last Voting Date: Aug
Wednesday, July 01, 1992
Notice To Members 92-37
Proposed Amendment to Article III, Section 21 of the Rules of Fair Practice to Require Predispute Arbitration Agreements to Include a Notice That Class-Action Matters May Not Be Arbitrated; Last Voting Date: August 21, 1992
Wednesday, July 01, 1992
Notice To Members 92-38
SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990
Wednesday, July 01, 1992
Notice To Members 92-40
Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992
Wednesday, July 01, 1992
Notice To Members 92-41
SEC Approval of Amendments to Article III, Section 26 of the NASD Rules of Fair Practice Regarding Limitations on Mutual Fund Asset-Based Sales Charges; Effective July 7, 1993
Saturday, August 01, 1992
Notice To Members 92-33
Providing of Proxy Voting Advice to Customers
Monday, June 01, 1992
Notice To Members 92-34
Independence Day — Trade Date-Settlement Date Schedule
Monday, June 01, 1992
Notice To Members 92-31
SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons
Monday, June 01, 1992
Notice To Members 92-28
SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters
Friday, May 01, 1992
Notice To Members 92-29
Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992
Friday, May 01, 1992
Notice To Members 92-30
Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992
Monday, June 01, 1992
Notice To Members 92-35
Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992
Monday, June 01, 1992
Notice To Members 92-24
Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992
Wednesday, April 01, 1992
Notice To Members 92-25
Proposed Amendment to Article III, Section 15 of the NASD Rules of Fair Practice Re: Exemption for Negative-Response Letters Used to Facilitate Certain Bulk Exchanges of Money Market Mutual Funds
Friday, May 01, 1992
Notice To Members 92-27
Advertising of Collateralized Mortgage Obligations by NASD Members
Friday, May 01, 1992
Notice To Members 92-22
Appointment of SIPC Trustees for Four Firms
Wednesday, April 01, 1992
Notice To Members 92-26
SEC Approval of Trade Reporting for Regular Nasdaq Securities
Friday, May 01, 1992
Notice To Members 92-32
Request for Comments on Proposed Amendment to the Rules of Fair Practice Relating to the Respective Obligations and Supervisory Responsibilities of Introducing and Clearing Firms; Last Date for Comments: July 22, 1992
Monday, June 01, 1992
Notice To Members 92-42
Penny Stock Risk Disclosure Document
Saturday, August 01, 1992
Notice To Members 93-50
Mail Vote — Proposed New Section to the Rules of Fair Practice Relating to the Respective Obligations And Supervisory Responsibilities of Introducing and Clearing Firms;
Sunday, August 01, 1993