(a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period as may be prescribed, such financial and operational information regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest.
(b) Every
SUGGESTED ROUTING:*
OperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Uniform Practice Code (Code or UPC) to update and amend, where necessary, provisions that were obsolete or that did not conform to current industry
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 4, 1995, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Tuesday, July 4, 1995, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, July 4, 1994, in observance of Independence 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*
June 24
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, September 5, 1994, 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. 26
Sept
Please kindly understand you Do Not know what's good for me, re my investment strategies and/or my utilizing leveraged derivatives for essential short term trading income.
I do not need nanny-state "testing" to demonstrate my already evident knowledge. I have already passed a far more difficult multi-decade "exam" -- i.e., my historic success in this
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, Memorial Day, May 30, 1994. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
May 20
May 27
Jun. 1
23
31
2
24
Jun. 1
3
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Good Friday, April 1, 1994. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Mar. 24
Mar. 31
Apr. 5
25
Apr. 4
6
28
5
7
29
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1992. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of
