(a) Dissemination Upon ReceiptFINRA will disseminate information on all transactions in TRACE-Eligible Securities, including transactions effected pursuant to Securities Act Rule 144A, immediately upon receipt of the transaction report, except as provided in paragraphs (b) through (d) of this Rule.(b) Periodic DisseminationFINRA will disseminate aggregated information on certain transactions in
Saving for retirement is arguably the single most important financial endeavor most of us undertake. It takes initiative, planning and consistent saving and investing to create a nest egg to cover a retirement that could stretch two or more decades. No matter where you work or how much you earn, it’s important to start saving as early as possible to take maximum advantage of compounding, which
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, December 25, 1995, in observance of Christmas Day, and Monday, January 1, 1996, in observance of New Year's Day. "Regular way" transactions made on the business days noted below will be
Summary
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.
All questions regarding
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 14, 1995. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Apr. 6
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 20, 1995, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Feb.
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
1.
Election of persons to serve on
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Presidents' Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 21, 1994, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 6, 1993, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
Aug. 27
