Information Notice - 12/10/12

2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

FINRA is providing the following schedule to assist member firms and reduce the number of Federal Reserve Board Regulation T and Securities Exchange Act Regulation 15c3-3 extensions denied around holidays. “Regular way” transactions made on the business days noted below will be subject to the following schedule.

Questions regarding this Notice should be directed to:

  • Debra German, Senior Credit Regulation Coordinator, Risk Oversight and Operational Regulation (ROOR), at (646) 315-8467;
  • Theresa Reynolds, Credit Regulation Coordinator, ROOR, at (646) 315-8567; or
  • Vincent Rotolo, Senior Credit Specialist, ROOR, at (646) 315-8576.