Information Notice - 12/23/13

2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

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

Questions regarding this Notice should be directed to:

  • Theresa Reynolds, Senior Credit Regulation Coordinator, Risk Oversight and Operational Regulation (ROOR), at (646) 315-8567; or
  • Patricia Dorn, Project Manager, ROOR, at (646) 315-8559.