2025 Holiday ScheduleWednesday, January 1, 2025New Year’s Day ObservationMonday, January 20, 2025Martin Luther King, Jr. DayThursday, January 9, 2025National Day of Mourning*Monday, February 17, 2025Presidents' DayFriday, April 18, 2025Good Friday (system closed)Monday, May 26, 2025Memorial DayThursday, June 19, 2025JuneteenthThursday, July 3, 2025Day before Independence Day (1 p.m. early
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT
TO: All NASD Members and Other Interested Persons
In Notice to Members 84-69, dated December 18, 1984, the NASD apprised the membership that the Comptroller of the Currency had issued notices concerning certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
Executive Summary
FINRA will conduct its Annual Meeting of firms on Monday, August 19, 2019, at 9:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1
It is important that all eligible firms be represented
We are at a cross roads as an economy, thus as a country. Hedge funds and other similar large corporate entities have an unfair advantage in the market, and has acted to the detriment of the health of our economy as a whole. Loose rules related to the reporting of short interest and FTDs(fail to deliver) has created an environment that allows hedge funds and the like to take advantage of retail
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
Summary
This Notice responds to questions that FINRA has received from members about how they can comply with FINRA rules when communicating with customers—particularly when using websites, email and other electronic media—while ensuring fair and balanced presentations. Our goal is to facilitate simplified and more effective disclosure in communications with the public.
FINRA welcomes the
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Sample Affidavit - Disciplinary
Sample Affidavit - Expedited
Sample Answer
Sample Case Caption - Disciplinary
Sample Case Caption - Expedited
Sample Case Management and Scheduling Order - Disciplinary
Sample Case Management and Scheduling Order - Expedited
Sample Certificate of Service
Sample Declaration - Disciplinary
Sample Declaration - Expedited
Sample Exhibit
Sample Financial
To Whom it May Concern,Thank you for the opportunity to comment on Regulatory Notice 24-13, “Effectiveness and Efficiency of [FINRA] Requirements Relating to Day Trading.” I am a strong believer in the benefits of engaging the community in this way, and sincerely appreciate the authority's time and attention. Over the past 20 years I have worked in the equity options
