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Information Notice - 9/7/10
August 2010 Supplement to the Security Futures Risk Disclosure Statement
Supplemental Statement of Income (SSOI) Frequently Asked Questions
Read the frequently asked questions for information on filling out each section of the SSOI.
Notice to Members 00-88
INFORMATIONAL Trade Date — Settlement Date SUGGESTED ROUTING KEY TOPIC Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date — Settlement Date Schedule Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed
Notice to Members 98-106
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Training Martin Luther King, Jr., Day: Trade Date - Settlement Date Schedule The Nasdaq Stock Market® and the securities exchanges will be closed on Monday, January 18, 1999, in observance of Martin Luther King, Jr., Day. "Regular way" transactions made on the
Guidance Relating to "Execution Time" for Purposes of Compliance with NASD Trade Reporting Rules
June 13, 2007 On July 9, 2007, the Regulation NMS Pilot Stock Phase is scheduled to begin. In this regard, as described in NASD Notice to Member (NTM) 07-23, NASD has adopted new transaction reporting modifiers that member firms are required to use when reporting to NASD facilities (each of NASD's Trade Reporting Facilities (TRFs) and the Alternative Display Facility (ADF)), whether a
Notice to Members 97-93
SUGGESTED ROUTING   Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, January 19, 1998, in observance of Martin Luther King, Jr., Day. "Regular way" transactions
Interpretive Letter to Michael D. Wolk, Esq., Foley and Lardner (Use of Negative Response Letters)
Negative response letters may be used for a bulk transfer of customer accounts to a broker-dealer that will provide certain trading services that have been discontinued by member, provided the letters contain the disclosures described in Notice to Members 02-57.
Interpretive Letter to Marion A. Kashan, London Pacific Securities, Inc. (Use of Negative Response Letters)
The use of negative response letters to transfer customers from one introducing broker/dealer to another may conflict with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
Interpretive Letter to Doug Wright, The Investment Center, Inc. (Use of Negative Response Letters)
The use of negative response letters to transfer customers serviced by "independent contractor" registered representatives from one introducing broker dealer to another may conflict with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
Interpretive Letter to Justine Rusin, Merit Capital Associates, Inc. (Use of Negative Response Letters)
The use of negative response letters to transfer customers from one introducing broker to another may conflict with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.