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Stuart Stothoff Comment On Regulatory Notice 22-08
Comments on Regulatory Notice 22-08 I am a self-directed retail user of investing products that is approaching retirement. I do not have a finance background per se, but I have a PhD in engineering with a career revolving around probabilistic risk assessment, and financial concepts translate well. I am not necessarily representative of the “typical” self-directed investor that the regulatory
Notice To Members 94-76
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
Notice To Members 93-65
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 11, 1993. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date since many of the nation's
Regulatory Notice 08-60
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
Notice To Members 92-48
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1992. On this day, securities exchanges and The Nasdaq Stock Market™
Interpretive Letter to Harold L. Gladney
Application of Rule 2370 to lending arrangements between registered persons and banks or other financial institutions in the business of lending money.
Notice To Members 90-70
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Monday, November 12, 1990. On Monday, November 12, the NASDAQ system and the
Notice To Members 90-59
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 8, 1990. On this day, the NASDAQ system and the exchange markets will be
Remarks From the Ethics and Leadership Lecture at Dominican University
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
Notice To Members 89-62
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be