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.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 13, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 35(d)(2)(D) relating to testimonials used in members' communications with the public. The proposed amendment would conform the NASD rule to that of the New York Stock Exchange.
As part of our mission to protect investors and safeguard market integrity, FINRA monitors and assesses FINRA-registered firms and their registered representatives through our Examination and Risk Monitoring programs.How We Do our WorkOur Exam and Risk Monitoring programs are a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of
(a) Composition of PanelsThe arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.(b) Generating Lists(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.(2) The list selection algorithm will exclude arbitrators from the list based upon current conflicts of
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
SUGGESTED ROUTING
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, February 15, 1993, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, September 7, 1992, in observance of Labor Day. "Regular way" transactions made on the business days immediately preceding
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Securities exchanges and The Nasdaq Stock Market™ will be closed on Friday, July 3, 1992 in observance of Independence Day. "Regular way" transactions made on the business days immediately preceding
