SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1995. On this day, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it will not be a settlement date
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, December 25, 1987, Christmas Day, and Friday, January 1, 1988, 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-Settlement
Comment Period Expires May 31, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Comment Period Expires May 31, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 24, Thanksgiving Day; Monday, December 26, Christmas Day Observance; and Monday, January 2, 1984, New Year's Day Observance. "Regular Way" transactions made on the preceding business days will be subject to the
The FINRA Board of Governors will consider the following rulemaking items at its December 2011 meeting.
The Portfolio Margin and Intraday Trading section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules
FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices.
Agenda
Wednesday, October 16
12:00 p.m. – 5:00 p.m.
Registration
1:00 p.m. – 1:05 p.m.
