SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
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
FINRA has resolved the issue with ORF transaction messages delivered via FIX and TRAQS. The issue was caused by a trade processor experiencing systemic disruption, resulting in queueing of transaction reports in certain symbols. All queued messages have been processed, and no further action is needed from firms.
Contact FINRA Market Operations with questions regarding this notice.
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
Trading should be done in the light. The markets need transparency. There is so much manipulation in the darkness that confidence in the market suffers. Penalties should be a deterrent rather than just a cost of doing business.
I would like more transparency in regards to short interest and naked shorting of stocks. Trading is rigged against retail investors and all I want to see is a level playing field. Thank you.
We need a fair and transparent market! Naked shorting has to STOP! The market is heavy manipulated. The SEC NEEDS TO DO THIER JOB. Dark pool trading is unfair. Thank you.
Young investors like me have very good understanding about investments. Leveraged and inverse funds help protects us during volatility of stocks. Covid-19 pandemic stock crash proved this. So, please allow trading without restrictions.
