TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operational Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 17, 1986, in observance of Presidents' Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
The NASDAQ System and the banks in New York State
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Wednesday, December 25, 1985, Christmas Day, and Wednesday, January 1, 1986, New Year's Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Tuesday, December 25, 1984, Christmas Day, and Tuesday, January 1, 1985, New Year's Day. "Regular Way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-
Member Assessments
The NASD amended Section 1, Schedule A to the NASD By-Laws to increase the credit against a member's annual gross income assessment from 62 to 67 percent for calendar year 1993. The credit will be reduced to 59 percent for 1994.
Because members have already paid their 1993 assessments with the 62 percent credit in effect, the increase to 67 percent will create a credit
There is no higher priority for FINRA than protecting senior investors from financial exploitation. Thus, every year we bring dozens of enforcement actions against brokers who harm senior investors, either through fraud schemes, conversion, churning of accounts, or otherwise. In this post, I want to highlight one pattern we have seen with increasing frequency in which certain brokers have
INFORMATIONAL
Terrorist Activity
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Office of Foreign Assets Control
Terrorist Activity
Executive Summary
At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Rule Effective April 21, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
(a) A member may hold mail for a customer who will not be receiving mail at his or her usual address, provided that:
(1) the member receives written instructions from the customer that include the time period during which the member is requested to hold the customer's mail. If the requested time period included in the instructions is longer than three consecutive months (including any
(a) Purpose
The Rule 9520 Series sets forth procedures for a person to become or remain associated with a member, notwithstanding the existence of a statutory disqualification as defined in Article III, Section 4 of the FINRA By-Laws and for a current member or person associated with a member to obtain relief from the eligibility or qualification requirements of the FINRA By-Laws and FINRA rules
