Displaying 2121 - 2130 of 2996 Results
Notice To Members 85-34
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Monday, May 27, 1985, 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 Schedule For "Regular-Way" Transactions
Notice To Members 93-47
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperationsSystems Executive Summary On May 18, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that permits broker/dealers to use optical storage technology(OST) to comply with the records retention requirements of SEC Rules 17a-3 and 17a-4. The letter, which was issued by the SEC
Notice To Members 85-16
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Good Friday, April 5, 1985. "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" Transactions Trade
Notice To Members 84-58
TO: All NASD Members and Municipal Securities Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Thursday, November 22, 1984 in observance of Thanksgiving Day. "Regular Way" transactions made on the preceding business days will be subject to the settlement date schedule listed below. Trade Date-Settlement Date Schedule For "Regular-
Notice To Members 84-42
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 3, 1984, 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
Notice To Members 84-33
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Wednesday, June 4, 1984, 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 Date Schedule For "Regular-Way"
Notice To Members 84-24
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Monday, May 28, 1984, 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 Schedule For "Regular-Way" Transactions
Notice To Members 84-18
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Good Friday, April 20, 1984. "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" Transactions
Election Notice - 2/5/09
Notice of Contested Election and Ballot for Small Firm National Adjudicatory Council Member Seat
Annuities Securities Products
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.