October 1999
Contingency Planning Activities
Although most businesses have worked, and are continuing to work, diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things may be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses should consider events beyond their control that could
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day, Tuesday, November 11, and Thanksgiving Day, Thursday, November 27. On Tuesday, November 11, the NASDAQ System and the exchange markets will be open for trading. However, it will not
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Transactions made on Monday, October 14, Columbus Day; Tuesday, November 5, Election Day; and Monday, November 11, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Tuesday, February 12 and Washington's Birthday, Monday, February 18. On Tuesday, February 12, the NASDAQ System and the exchange markets will be open for trading. However,
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Transactions made on Monday, October 8, Columbus Day; Tuesday, November 6, Election Day; and Monday, November 12, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Monday, February 13, and Washington's Birthday, Monday, February 20. On Monday, February 13, the NASDAQ System and the exchange markets will be open for trading. However, it
Regulatory Element
Effective Date: December 2, 2002
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal and Compliance
Registration
Senior Management
Regulatory Element
Executive Summary
On September 24, 2002, the Securities and Exchange Commission (SEC) approved NASD Rule 1043, a new registration category for proctors of in-firm delivery of the Regulatory Element
Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
Comment Period Expires March 31, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceRegistrationTrading
Executive Summary
At its January 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on amendments to the foreign associate provisions in Part X of Schedule C to the NASD By-Laws. These amendments would
