Notices

Labor Day — Trade Date-Settlement Date Schedule

Penny Stock Risk Disclosure Document

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

Effective July 7, 1993

Nasdaq National Market Additions, Changes, and Deletions as of June 26, 1992

Confirmation Disclosure Requirements for Transactions in Nasdaq Small-Cap Stocks

SEC Adoption of Penny-Stock Disclosure Rules Under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990

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

Last Voting Date: August 21, 1992

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

Last Voting Date: Aug

Nasdaq National Market Additions, Changes, and Deletions as of May 27, 1992

Independence Day — Trade Date-Settlement Date Schedule

Providing of Proxy Voting Advice to Customers

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

Last Date for Comments: July 22, 1992

SEC Approval of Amendments Relating to the Contingent Suspension of Members and Associated Persons

Proposed Amendment to Rules of Fair Practice to Require Members to Send Periodic Statements of Account to Customers; Last Voting Date: July 22, 1992

Last Voting Date: July 22, 1992

Nasdaq National Market Additions, Changes, and Deletions as of April 21, 1992

SEC Approval of Corporate Financing Rule and Code of Procedure for Corporate Financing and Direct Participation Program Matters

Advertising of Collateralized Mortgage Obligations by NASD Members

SEC Approval of Trade Reporting for Regular Nasdaq Securities

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

Nasdaq National Market Additions, Changes, and Deletions as of March 25, 1992

Memorial Day — Trade Date-Settlement Date Schedule

Appointment of SIPC Trustees for Four Firms

SOES Tier Levels to Change for 431 Issues on May 4, 1992

Sale of Direct Participation Program Debt Instruments by Limited Principals and Representatives; SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws

SEC Approval of Amendments to Parts II and III of Schedule C To the NASD's By-Laws

Retention of Jurisdiction; SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice

SEC Approval of Amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws, and Article IV, Section V Of the Association's Rules of Fair Practice

SEC Approval of Amendments to the Definition of the Term "Branch Office" in Article III, Section 27 of the Rules of Fair Practice

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 Proxy Material on the Request of Stockholders

NASD Policies and Procedures for Markups/Markdowns in Equity Securities

Nasdaq National Market Additions, Changes, and Deletions as of February 24, 1992

Good Friday — Trade Date-Settlement Date Schedule

NASD/NYSE Special Alert Regarding Previously Cancelled Securities

Nasdaq National Market Additions, Changes, and Deletions as of January 27, 1992

SIPC Trustees Appointed for Two Securities Firms

Fees and Charges for Services

Approval of Amendments to Article III, Section 3 of the NASD By-Laws Regarding NASD Member Requirement to Appoint One Executive Representative Responsible For Voting and Acting for the Member in All Affairs Relating to the NASD

Proposed Amendment to Rules of Fair Practice, Article III, New Section 46: Short-Sale Rule for Nasdaq/NMS Securities and New Section 47: Primary Nasdaq Market Makers; Last Voting Date: March 13, 1992

Last Voting Date: March 13, 1992

For Your Information

Nasdaq National Market Additions, Changes, and Deletions as of December 19, 1991

Presidents' Day — Trade Date-Settlement Date Schedule

Annual Check List of NASD Notices to Members