Upcoming District Committee and District Nominating Committee Elections
TO: All NASD Members and Municipal Securities Bank Dealers
In Notice to Members 85-63, dated September 23, 1985, members were advised that Tuesday, November 5, Election Day, and Monday, November 11, Veterans Day, would not be considered business days since many banking institutions would be closed.
The NASD has been advised that most banking institutions will be open on Election Day but will
TO: NASD Members and NASDAQ Issuers
On January 1, 1985, an order from the State of Georgia became effective which exempts NASDAQ National Market System securities from registration or qualification for sale under Georgia blue sky laws. This action grants NASDAQ National Market System securities parity with securities listed on the New York and American Stock Exchanges. In addition, for NASDAQ
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 21, 1985. On Monday, January 21, 1985, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
"Regular-Way" transactions made on Tuesday, November 8, Election Day; and Friday, November 11, Veterans Day, and the days immediately preceding these days will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity. While the NASDAQ System
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a
Firms have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a comprehensive review of the findings,
(a) Direction by Executive Committee
Notwithstanding Rules 9524 and 9525, the FINRA Board Executive Committee, upon request of the Statutory Disqualification Committee, may direct an expedited review of a recommended written decision of the Statutory Disqualification Committee if the FINRA Board Executive Committee determines that expedited review is necessary for the protection of
