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Notice To Members 85-16
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Good Friday, April 5, 1985. "Regular Way" transactions made on the business days immediately preceding that day will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way" Transactions Trade
Notice To Members 84-18
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Good Friday, April 20, 1984. "Regular Way" transactions made on the business days immediately preceding that day will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
The University of Pittsburgh Securities Arbitration Clinic Comment On Regulatory Notice 22-17
The University of Pittsburgh Securities Arbitration Clinic Comment On Regulatory Notice 22-14
ARTICLE XIII POWERS OF BOARD TO IMPOSE SANCTIONS
Sec. 1.  The Board is hereby authorized to impose appropriate sanctions applicable to members, including censure, fine, suspension, or expulsion from membership, suspension or bar from being associated with all members, limitation of activities, functions, and operations of a member, or any other fitting sanction, and to impose appropriate sanctions applicable to persons associated with
University of Pittsburgh Securities Arbitration Clinic Comment On Regulatory Notice 21-43
Securities Arbitration Clinic at St. John’s University School of Law Comment On Regulatory Notice 24-13
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Persons Eligible to Become Members and Associated Persons of Members
Sec. 1.  (a) Any registered broker, dealer, municipal securities broker or dealer, or government securities broker or dealer authorized to transact, and whose regular course of business consists in actually transacting, any branch of the investment banking or securities business in the United States, under the laws of the United States, shall be eligible for membership in the Corporation
Third Amended and Restated Limited Liability Company Agreement of the FINRA/NASDAQ Trade Reporting Facility LLC
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
Notice to Members 03-78
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Municipal/Government Securities Operations Trading and Market Making Holiday Trade Date-Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule The Nasdaq Stock Market® and the