SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 29, 1995, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, July 5, 1993 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
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 31, 1993, in observance of Memorial 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*
May 21
It is unfortunate that the system must be an "US vs THEM" system, especially when they don't have to play by the same rules that we, the little guy, the 99%, the "dumb money", the "retail investor, has to follow. Things I would like to see changed: -- There needs to be more transparency. We need to be able to see the shorts. We need to see the FTDs. Short positions
Some of the key responsibilities of an SAA are to ensure that access is appropriate and required as well as remove access for users who no longer need it—either because of changes in job duties or termination with the firm.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 1, 1986, in observance of Labor Day. "Regular-way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way
Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 5, 1983, in observance of Labor Day. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 21, 1983, in observance of Washington's Birthday. "Regular-Way" transactions made on the business days preceding that day will be settled according to the following schedule.
Trade Date-Settlement Date Schedule For
There is a lot covered here, it is obvious that some steps toward better transparency are at work. The simple fact of the matter is that there systemic issues with the creation of shares to borrow based on future volumes, failures to deliver, and shorting in general. While appreciated, and needed, the solutions to these do not lie in the resolution of transparency alone. Removing the capability
