1997 Important Notices |
Doc # | Date | P&S No. | Subject |
A4704 | December 31, 1997 | P&S 4272 | NEW STATEMENT OF POLICY
AMENDMENT: STANDARDS RELATING TO REGULATORY HISTORY FOR NSCC APPLICANTS AND PARTICIPANTS |
A4703 | December 31, 1997 | P&S 4271 | MUTUAL FUND COMMISSION
SETTLEMENT AND GLOBAL UPDATE SERVICE RECORD FORMAT ENHANCEMENTS |
A4699 | December 29, 1997 | P&S 4267 | MODIFICATIONS TO THE
AUTOMATED CUSTOMER ACCOUNT TRANSFER SERVICE (ACATS) - Fund/SERV INTERFACE |
A4701 | December 29, 1997 | P&S 4269 | FEE SCHEDULE |
A4700 | December 26, 1997 | P&S 4268 | CHANGES IN THE LIST OF
PARTICIPANTS |
A 4698 | December 22, 1997 | P&S 4266
| INTERPRETATION CONCERNING THE RELEASE OF CLEARING DATA TO
REGULATORY AND SELF-REGULATORY ORGANIZATIONS |
A 4695 | December 19, 1997 | P&S 4263 | CHANGES IN
THE LIST OF PARTICIPANTS |
A 4694 | December 19, 1997 | P&S 4262 | OTC
OPTIMIZATION - NASDAQ ACT/TARS MIGRATION |
A 4687 | December 15,
1997 | P&S 4256 | YEAR 2000 PARTICIPANT TESTING OF FILE FORMATS |
A 4693 | December 15,
1997 | | CHANGE IN SCHEDULE (MONTREAL/TORONTO/VANCOUVER) |
A 4692 | December 12,
1997 | P&S 4261 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4691 | December 12,
1997 | P&S 4260 | CHRISTMAS
AND NEW YEAR'S DAY HOLIDAY SCHEDULE |
A 4690 | December 8,
1997 | P&S 4259 | TRADE COMPARISON SYSTEM FOR OVER-THE-COUNTER
SECURITIES--MODIFICATIONS TO NSCC’S PROCEDURES |
A 4689 | December 5,
1997 | P&S 4258 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4688 | December 5,
1997 | P&S 4257 | 1998 RECAP SCHEDULE |
A 4686 | December 5,
1997 | P&S 4255 | NEW YORK STATE STOCK TRANSFER TAX REBATE PROGRAM |
A 4685 | November 28, 1997
| P&S 4254 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4684 | November 24, 1997
| P&S 4253 | FUND/SERV AND NETWORKING MODIFICATIONS FOR THE 1997 TAX RELIEF ACT -
PART I |
A 4683 | November 21, 1997
| P&S 4252 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4682 | November 19, 1997
| P&S 4251 | CORRESPONDENT CLEARING |
A 4680 | November 14, 1997
| P&S 4249 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4679 | November 11, 1997
| P&S 4248 | RECAPS - DECEMBER 1997 |
A 4678 | November 11, 1997
| P&S 4247 | IMPLEMENTATION OF ANNUITY PROCESSING SERVICE (APS) – COMMISSIONS
AND MONEY SETTLEMENT |
A 4677 | November 11, 1997
| P&S 4246 | SETTLEMENT AT NSCC OF TRADES EXECUTED ON THE PHILADELPHIA STOCK
EXCHANGE |
A 4676 | November 7, 1997
| P&S 4245 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4675 | November 6, 1997
| P&S 4244 | THANKSGIVING DAY HOLIDAY SCHEDULE |
A 4674 | November 4, 1997
| P&S 4243 | NEW STATEMENT OF POLICY: STANDARDS RELATING TO REGULATORY HISTORY FOR
NSCC APPLICANTS AND PARTICIPANTS |
A 4673 | October 31, 1997
| P&S 4242 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4672 | October 27, 1997
| P&S 4241 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4670 | October 27, 1997
| P&S 4239 | VETERANS DAY HOLIDAY SCHEDULE |
A 4671 | October 24, 1997
| P&S 4240 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4669 | October 21, 1997
| P&S 4238 | AMEX COMMISSION BILL PROCESSING FOR NOVEMBER, 1997 |
A 4668 | October 17, 1997
| P&S 4237 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4667 | October 10, 1997
| P&S 4236 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4666 | October 3, 1997
| P&S 4235 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4665 | October 3, 1997
| P&S 4234 | COMMUNICATIONS DISASTER RECOVERY TEST |
A 4664 | October 1, 1997
| P&S 4233 | YEAR 2000 PARTICIPANT TESTING OF FILE FORMATS |
A 4663 | September 29, 1997
| P&S 4232 | ANNUITIES PROCESSING SERVICE |
A 4662 | September 29, 1997
| P&S 4231 | REVISION TO INVOICING AND SETTLEMENT OF NSCC MONTHLY BILL |
A 4659 | September 29, 1997
| | CHANGE IN SCHEDULE (MONTREAL/TORONTO/VANCOUVER) |
A 4661 | September 26, 1997
| | LIMITED CROSS-GUARANTY AGREEMENTS |
A 4660 | September 26, 1997
| | CHANGES IN MEMBERSHIP STANDARDS |
A 4658 | September 25, 1997
| P&S 4228 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4657 | September 23, 1997
| P&S 4227 | DISASTER RECOVERY TELEPHONE NUMBERS |
A 4656 | September 23, 1997
| P&S 4226 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4655 | September 23, 1997
| P&S 4225 | COLUMBUS DAY HOLIDAY SCHEDULE |
A 4654 | September 19, 1997
| P&S 4224 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4652 | September 12, 1997
| P&S 4222 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4649 | September 12, 1997
| | REDESIGN OF AUTOMATED CUSTOMER ACCOUNT TRANSFER SERVICE (ACATS) AND ACATS Fund/SERV |
A 4651 | September 9, 1997
| | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4650 | September 5, 1997
| P&S 4221 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4648 | September 4, 1997
| P&S 4219 | NEW YORK STATE STOCK TRANSFER TAX REBATE PROGRAMS |
A 4647 | August 29, 1997
| P&S 4218 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4646 | August 29, 1997
| P&S 4217 | DISCOVERY ZONE CUSIP 25468B107 |
A 4645 | August 25, 1997
| P&S 4216 | NEW FUND MEMBER CATEGORY--THE INVESTMENT ADVISER |
A 4644 | August 22, 1997
| P&S 4215 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4643 | August 22, 1997
| P&S 4214 | LABOR DAY HOLIDAY SCHEDULE |
A 4641 |
August 20, 1997 | | ESS CREDIT LIST - (CASH 60) |
A 4640 | August 15, 1997
| P&S 4212 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4639 | August 15, 1997
| P & S 4211 | MUTUAL FUND PROFILE SERVICE DAILY PRICE AND RATE FACILITY
ENHANCEMENTS - PART II |
A 4638 | August 14, 1997
| P&S 4210 | RECAPS - SEPTEMBER 1997 |
A 4637 |
August 11, 1997 | P&S 4209 | FINE AIR SERVICES INC. , CUSIP 31779P108, SYMBOL BIGF |
A 4636 |
August 11,1997 | | JOURNALING INTO CNS OF ALL
OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4635 | August 8, 1997 |
P&S #4208 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4634 | August 1, 1997 |
P&S 4207 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4632 | August 1, 1997 |
P & S 4206 | FUND/SERV MODIFICATION FOR CASH ADJUSTMENTS ON RETIREMENT ASSET
TRANSFERS |
A 4631 | August 1, 1997 |
P & S 4205 | FUND/SERV AND NETWORKING MODIFICATIONS |
A 4622 | July
28, 1997 | P&S 4183 | YEAR 2000 PARTICIPANT TESTING OF FILE FORMATS |
A 4628 | July 25, 1997 |
P&S 4203 | LISTED CONTRACT OUTPUT MODIFICATIONS SUPPORTING NYSE AND AMEX OCS
EXPANDED PRICES |
A 4630 | July 25, 1997 |
P&S 4204 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4627 | July 18, 1997 | |
CHANGE IN SCHEDULE (MONTREAL/TORONTO/VANCOUVER) |
A 4626 | July 18, 1997 |
P&S 420 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4625 | July
16, 1997 | P&S 4201 | NEW DIRECTOR CATEGORY--THE "INDUSTRY DIRECTOR" |
A 4624 | July 18, 1997 | |
MUTUAL FUND PROFILE SERVICE DAILY PRICE AND RATE FACILITY ENHANCEMENTS |
A 4623 | July 17, 1997 |
P&S 4199 | AMEX COMMISSION BILL PROCESSING FOR AUGUST 1997 |
A 4621 | July
14, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4620 | July 11, 1997 |
P&S 4197 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4618 | July
09, 1997 | P&S 4195 | THE MSRB'S CUSTOMER TRANSACTION REPORTING PROGRAM FOR
MUNICIPAL BOND SECURITIES - MSRB TESTING with NSCC INTERFACE |
A 4619 | July 03, 1997 |
P&S 4196 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4617 | June 27, 1997 |
P&S 4194 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4616 | June 20, 1997 |
P&S 4193 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4614 | June
16, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4603 | June
06, 1997 | P&S 4183 | YEAR 2000 PARTICIPANT TESTING OF FILE FORMATS |
A 4613 | June 13, 1997 | |
CHANGES IN THE LIST OF PARTICIPANTS |
A 4612 | June 12, 1997 |
P & S 4190 | INDEPENDENCE DAY HOLIDAY SCHEDULE |
A 4611 | June
11, 1997 | | CNS BUY-INS |
A 4610 | June 11, 1997 | |
CHANGE IN SCHEDULE (MONTREAL/TORONTO/VANCOUVER) |
A 4609 | June 06, 1997 |
P&S 4189 | AMEX COMMISSION BILL PROCESSING FOR JULY 1997 |
A 4608 | June 06, 1997 |
P&S 4188 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4607 | June 03, 1997 |
P & S 4187 | NEW YORK STATE STOCK TRANSFER TAX REBATE PROGRAM |
A 4606 | May 30, 1997 |
P&S 4186 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4605 | May
27, 1997 | P&S 4185 | FUND/SERV AND NETWORKING -- UNIT INVESTMENT TRUSTS |
A 4604 | May 23, 1997 |
P&S 4184 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4602 | May
21, 1997 | P&S 4182 | NEW DIRECTOR CATEGORY--THE "INDUSTRY DIRECTOR" |
A 4601 | May 21, 1997 |
P&S 4181 | AMEX COMMISSION BILL PROCESSING FOR JUNE 1997 |
A 4600 | May
19, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4599 | May 16, 1997 |
P&S 4180 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4598 | May 9, 1996 |
P&S 4179 | FEE SCHEDULE |
A 4596 | May 9, 1997 |
P&S 4177 | MUTUAL FUND SERVICES --
RULE CHANGE |
A 4597 | May 9, 1997 |
P&S 4178 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4595 | May 8, 1997 | |
CHANGE IN SCHEDULE (MONTREAL/TORONTO/VANCOUVER) |
A 4594 | May
7, 1997 | P&S 4176 | SECURITIES TRANSFER SERVICE (NATIONAL TRANSFER SERVICE)--RULE
DELETION |
A 4593 | May 12, 1997 |
P&S 4175 | RECAPS - JUNE 1997 |
A 4591 | May 7, 1997 | P
& S 4173 | MEMORIAL DAY HOLIDAY SCHEDULE |
A 4592 | May 2, 1997 |
P&S 4174 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4578 | April
10, 1997 | P&S 4161 | YEAR 2000 PARTICIPANT TESTING DIRECTION & SCHEDULE |
A 4590 | April 25, 1997 |
P&S 4172 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4589 | April
21, 1997 | P & S 4171 | ENHANCEMENTS TO NSCC's MONEY SETTLEMENT SYSTEM --THIRD
RELEASE |
A 4588 | April
21, 1997 | P&S 4170 | CINCINNATI STOCK EXCHANGE FEES |
A 4587 | April 23, 1997 |
P&S 4169 | LISTED CONTRACT OUTPUT MODIFICATIONS SUPPORTING NYSE AND AMEX OCS
EXPANDED PRICES |
A 4583 | April 21, 1997 |
P&S 4166 | AMEX COMMISSION BILL PROCESSING FOR May 1997 |
A 4584 | April 18, 1997
| - P&S 4167 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4585 | April 18, 1997 |
P & S 4168 | DEFINED CONTRIBUTION PROCESSING FUND/SERV & NETWORKING |
A 4586 | April
18, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4581 | April 7, 1997 |
P & S 4164 | ACAT - Fund/SERV Interface Modification - Default Registration |
A 4582 | April 11, 1997 |
P&S 4162 | CHANGES IN THE LIST OF PARTICIPANTS |
A4580 | April 9, 1997
| P&S 4163 | APOLLO BIOPHARMACEUTICS INC. (COMMON &
WTS.) CUSIP 03759Y102 (COMMON) 03759Y110 (WTS.) SYMBOL ABPI (COMMON) ABPIW (WTS.) |
A 4579 | April 4, 1997 |
P&S 4162 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4571 | April
2, 1997 | P&S 4155 | THE MSRB'S CUSTOMER TRANSACTION REPORTING PROGRAM FOR
MUNICIPAL BOND SECURITIES |
A 4577 | April 3, 1997 |
P&S 4160 | EQUITY COMMISSION BILL NUMBER MASTER FILE |
A 4576 | March 27, 1997 |
P&S 4159 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4575 | March
24, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4574 | March 21, 1997 |
P&S 4158 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4572 | March 21, 1997
| P&S 4156 | AMEX COMMISSION BILL PROCESSING FOR April 1997 |
A 4573 | March 18, 1997
| P & S 4157 | Defined Contribution Processing - Fund/SERV & NETWORKING |
A 4570 | March 14, 1997 |
P&S 4154 | CHANGES IN THE LIST OF PARTICIPANTS |
A
4569 | March 13, 1997 | P&S 4153 | EXEMPTION PROCESSING |
A 4565 | March
6, 1997 | P&S 4149 | RECAPS |
A4567 | March 6, 1997 |
P&S# 4151 | NSCC CEASES TO ACT FOR W.S. CLEARING, INC. |
A# 4568 | March 7, 1997 |
P&S# 4152 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4564 | March 3, 1997 |
P & S 4148 | NEW YORK STATE STOCK TRANSFER TAX REBATE PROGRAM |
A 4563 | February 28,
1997 | P&S 4147 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4558 | February 18, 1997
| P&S 4143 | LISTED CONTRACT OUTPUT MODIFICATIONS SUPPORTING NYSE AND AMEX OCS
ENHANCED MATCH |
A 4562 |
February 24, 1997 | | JOURNALING INTO CNS OF ALL
OPEN RIO BALANCE ORDERS WITH PARTICIPANT 796 |
A 4561 | February 24, 1997
| P&S 4146 | RECAPS - MARCH 1997 |
A 4559 | February 24, 1997
| P&S 4144 | AMEX COMMISSION BILL PROCESSING FOR March 1997 |
A 4560 | February 21, 1997
| P&S 4145 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4557 | February 14, 1997
| P&S 4142 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4555 | February 18, 1997
| P&S 4140 | GOOD FRIDAY HOLIDAY SCHEDULE |
A 4556 |
February 12, 1997 | P&S 4141 | FUND/SERV AND NETWORKING -- UNIT INVESTMENT TRUSTS |
A 4554 | February 10, 1997
| P&S 4139 | GOOD FRIDAY CNS PROCESSING SCHEDULE |
A 4553 | February 7, 1997
| P&S 4138 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4552 | February 3, 1997
| P & S 4137 |
WASHINGTON’S BIRTHDAY (PRESIDENTS’ DAY) HOLIDAY SCHEDULE |
A 4551 |
January 31, 1997 | P&S 4136 | MUTUAL FUND SERVICE -- RULE CHANGE |
A 4550 | January 31, 1997
| P&S 4135 | CHANGES IN THE LIST OF PARTICIPANTS |
A
4548 | January 27, 1997 | P&S 4133 | SECURITIES TRANSFER SERVICE (NATIONAL
TRANSFER SERVICE)--RULE DELETION |
A 4549 |
January 27, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH PARTICIPANT
796 |
A 4544 |
January 22, 1997 | P&S 4129 | YEAR 2000 DIRECTION |
A 4547 | January 24, 1997
| P&S 4132 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4546 | January 22, 1997
| P&S 4131 | AMEX COMMISSION BILL PROCESSING FOR February 1997 |
A 4545 | January 17, 1997
| P&S 4130 | CHANGES IN THE LIST OF PARTICIPANTS |
A
4540 | January 6, 1997 | P&S 4125 | ANNUITIES PROCESSING SERVICE |
A 4543 | January 10, 1997
| P&S 4128 |
CHANGES IN THE LIST OF PARTICIPANTS |
A 4542 |
January 8, 1997 | P&S 4127 |
NASD - SEC TRANSACTION FEES |
A 4541 | January 7, 1997
| P&S 4126 | CHANGES IN THE LIST OF PARTICIPANTS |
A 4538 | January 2, 1997
| P & S 4123 | MARTIN LUTHER KING JR. DAY |
A 4539 | January 3, 1997
| P&S 4124 | CHANGES IN THE LIST OF PARTICIPANTS |
A
4535 | January 2, 1997 | | JOURNALING INTO CNS OF ALL OPEN RIO BALANCE ORDERS WITH
PARTICIPANT 796 |