Notices

SOES Tier Levels Set To Change April 1, 1997

NASD Updates Year 2000 Activities And Advises Members

SEC Approves Amendments To ACT Rules To Require Market Makers To Denote When They Have Effected An Exempt Short-Sale

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

Bank Secrecy Act Recordkeeping Rule For Funds Transfers And Transmittals Of Funds

NASD Regulation Requests Comment On Proposed Rule Governing Use And Release Of Customer Confidential Financial Information

NASD Regulation Requests Comment On Proposed Rule Restricting Payment Of Referral Fees By NASD Members

SEC To Approve Amendments To NASD Rules To Facilitate Compliance With SEC Regulation M

Industry/Regulatory Council On Continuing Education Issues Continuing Education Program Firm Element Advisory

SEC Approves Quotation And Transaction Reporting Of Direct Participation Programs

For Your Information

For Your Information

Fixed Income Pricing System Additions, Changes, And Deletions As Of January 24, 1997

Good Friday: Trade Date — Settlement Date Schedule

Annual Check List of NASD Notices to Members

NASD Reminds Members About Treasury's Foreign Assets Control Regulations

For Your Information

For Your Information

Fixed Income Pricing System Additions, Changes, And Deletions As Of December 23, 1996

Presidents' Day: Trade Date — Settlement Date

Approval Of Telemarketing Amendments

NASD Rule Filing Status

For Your Information For December

December FYI

Fixed Income Pricing System Additions, Changes, And Deletions As Of November 29, 1996

Trade Date — Settlement Date Schedule For 1997

NASD 1997 Holiday Schedule

SOES Tier Levels Set To Change January 2, 1997

NASD Regulation PROCTOR Transition To Sylvan Continues

NASD Regulation Reminds Members And Associated Persons That Sales Of Variable Contracts Are Subject To NASD Suitability Requirements

Customer Complaint Reporting Rule Update

NASD Regulation Solicits Comment On The Use Of Bond Mutual Fund Risk Ratings In Supplemental Sales Literature

NASD Regulation Solicits Comment On Proposed Rule Relating To Prohibition On Members Receiving Any Payment To Publish A Quotation, Make A Market In An Issuer's Securities, Or Submit An Application In Connection Therewith

NASD Regulation Solicits Comment On Proposed Rules Governing Supervision, Review, And Record Retention Of Correspondence

SEC Transaction Fees Begin January 1, 1997, On Nasdaq And Other Prompt Last Sale Reported Non-Debt Transactions

SEC Requests Comments On Proposed Amendments To SEC Rules 17a-3 And 17a-4

Fixed Income Pricing System Additions, Changes, and Deletions as of October 28, 1996

Christmas Day And New Year's Day: Trade Date—Settlement Date Schedule

CRD Will Provide Firms With Advisory Messages When Significant Disciplinary Actions Require Reentry Of Individuals Into The Regulatory Element Of The Continuing Education Program

SEC Approves Amendment To IM-8310-2 Regarding The Availability Of Disciplinary Complaints And Disciplinary Decisions Upon Request