WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of FINRA’s 2024 fine monies.
In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 23, 2023. Please be advised that the TRFs will close early on Friday, November 24, 2023. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:
Tuesday, December 24, 2019 Early Close
Wednesday, December 25, 2019 Closed
Wednesday, January 1, 2020 Closed
SEC Approves Supplemental Inventory Schedule
Retail trader here I believe FINRA 21-19 is long over due the integrity of the United States market depends on it and here's why. The policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they leave significant specific gaps that could compromise the entirety of 21-19's purpose. It is important for the restoration of both the
Learn about the requirements for submitting your firm’s Form Custody via eFOCUS.
R. F. LAFFERTY & CO., INC.40 WALL STREET, 29TH FLOOR, NEW YORK, NY 10005R. SEELAUS & CO., LLC26 MAIN STREET, SUITE 300, CHATHAM, NJ 07928R.J. O'BRIEN SECURITIES, LLC222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606Mailing Address: 222 SOUTH RIVERSIDE PLAZA, SUITE 1200, CHICAGO, IL 60606R.M. DUNCAN SECURITIES, INC.10201 W MARKHAM ST, SUITE 219, LITTLE ROCK, AR 72205R.M
SUGGESTED ROUTING*
Senior ManagementInstitutional Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES or SOES Rules) proposed by the NASD to
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: MARCH 2, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on two proposed amendments to Section (c)(l)(B) of the Rules of Practice and Procedure governing the NASD's Small Order Execution System (SOES). One amendment would prohibit NASDAQ market makers from utilizing SOES to execute agency orders in securities in
SUGGESTED ROUTING
Internal AuditLegal & ComplianceOperationsSystemsTrading
The NASD will observe the following holiday schedule for 1994:
February 21
Presidents' Day
April 1
Good Friday
May 30
Memorial Day
July 4
Independence Day
September 5
Labor Day
November 24
Thanksgiving Day
December 26
Christmas Day (Observance)
Note: The NASD and The
