Notices

Proposed New Rule Re: Definition of "Executive Representative" in Article Section 3 of the NASD By-Laws; Last Voting Date: September 25, 1991

Last Voting Date: September 25, 1991

Proposed New Rule Re: Definition of Branch Office in Article III, Section 27(g)(2) and (g)(3) of the Rules of Fair Practice; Last Voting Date: September 25, 1991

Last Voting Date: September 25, 1991

NASD/NYSE Joint Memo on Chinese Wall Policies and Procedures

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of June 12, 1991

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; Last Date for Comments: July 31, 1991

Last Date for Comments: July 31, 1991

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of May 13, 1991

Independence Day — Trade Date-Settlement Date Schedule

Appointment of SIPC Trustees for Two Firms

Department of Treasury Proposes Significant Amendments to the Regulations Issued on July 24, 1987 Under the Government Securities Act of 1986; Last Date for Comments: June 17, 1991

Last Date for Comments: June 17, 1991

SEC Approval of Amendment Regarding Disclosure of Contingent Deferred Sales Charges on Confirmations

Limitations on Use of "Negative Response" Letters in Switching Customers From One Mutual Fund to Another

Market-Maker Obligations in SelectNet^SM

Market-Maker Obligations With Regard to Display of Size in Quotations

Adoption of Amendments to SEC Rule 15c2-11 Regarding Initiation or Resumption of Quotations Without Specified Information

Proposed SEC "Penny Stock" Disclosure Rules

Request for Comments on Amendments to the Filing Requirements of the Interpretation of the Board of Governors — Review of Corporate Financing; Last Date for Comments: July 1, 1991

Last Date for Comments: July 1, 1991

Request for Comments on Proposed Nonquantitative Designation Criteria for Partnerships Listed on the Nasdaq National Market System; Last Date for Comments: July 1, 1991

Last Date for Comments: July 1, 1991

Request for Comments on Compensation Arrangements for Activities of Registered Representatives Who Are Also Registered With the Securities and Exchange Commission as Investment Advisers; Last Date for Comments: July 1, 1991

Last Date for Comments: July 1, 1991

Solicitation of Members' Comments on Proposals to Curb SOES Abuse; Last Date for Comments: June 21, 1991

Last Date for Comments: June 21, 1991

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of April 12, 1991

Memorial Day — Trade Date-Settlement Date Schedule

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 Representatives

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

SEC Approval of Amendment Re: Use and Disclosure of Member Names

Request for Comments on 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 Cont

Proposed New Rule Re: Suspension or Cancelation of Registration for Failure to Pay Fees, Dues, or Other Assessments; Last Voting Date: June 4, 1991

Last Voting Date: June 4, 1991

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of March 13, 1991

SOES Tier Levels to Change for 417 Issues on April 15, 1991

Amendments to Schedule H Eliminating the Price and Volume Reporting Thresholds, And Expanding the Definition of Non-Nasdaq Security

Adoption of Amendments to SEC Rule 15c3-1 Regarding Withdrawals of Net Capital

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

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of February 8, 1991

Good Friday — Trade Date-Settlement Date Schedule

New Statutory Disqualification Categories; Notice to NASD Required No Later Than April 30, 1991

Notice to NASD Required No Later Than April 30, 1991

Request for Comments From Members on Proposed Changes to the Definition of "Executive Representative" in Article III, Section 3 of the NASD By-Laws; Last Date for Comments: April 1, 1991

Last Date for Comments: April 1, 1991

Nasdaq National Market System (Nasdaq/NMS) Additions, Changes, and Deletions As of January 11, 1991

Presidents' Day — Trade Date-Settlement Date Schedule

NASD Charges for Reviewing Advertisements and Sales Literature

Board of Governors' Approval of Service Charges for SelectNet and SOES

SEC Approval of Amendment to Part I of Schedule C to the NASD By-Laws Regarding Written Notification About Certain Events