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Notice to Members 98-32
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading Good Friday: Trade Date — Settlement Date Schedule The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 10, 1998. "Regular way" transactions made on the business days noted below will be subject to the following
Interpretive Letter to Alice Yau, J.P. Morgan Securities, Inc.
<p>When a member exchanges TRACE-eligible securities for a Creation Unit of an exchange-traded fund ("ETF"), the transfer of TRACE-eligible securities is not required to be reported to TRACE. Similarly, when a member redeems a Creation Unit of an ETF and receives TRACE-eligible securities, their acquisition is not required to be reported to TRACE.</p>
Trade Reporting Notice - 2/8/10
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Notice to Members 97-53
SUGGESTED ROUTING &nbsp; Internal Audit Legal &amp; Compliance Municipal Operations Syndicate Systems Trading Labor Day: Trade Date — Settlement Date Schedule The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 1,1997, in observance of Labor Day. "Regular way" transactions made on the business days noted below
Notice to Members 97-39
SUGGESTED ROUTING &nbsp; Internal Audit Legal &amp; Compliance Municipal Operations Syndicate Systems Trading Independence Day: Trade Date — Settlement Date Schedule The Nasdaq Stock MarketSM and the securities exchanges will be closed on Friday, July 4, 1997, in observance of Independence Day. "Regular way" transactions made on the business days
Notice to Members 97-06
SUGGESTED ROUTING &nbsp; Internal Audit Legal &amp; Compliance Municipal Operations Syndicate Systems Trading Good Friday: Trade Date — Settlement Date Schedule The Nasdaq Stock Market and the securities exchanges will be closed on Good Friday, March 28, 1997. "Regular way" transactions made on the business days noted below will be subject to the
Notice To Members 94-78
SUGGESTED ROUTING Senior ManagementCorporate FinanceInstitutionalLegal &amp; ComplianceMunicipalOperationsSystemsTrading As of August 29, 1994, the following bonds were added to the Fixed Income Pricing System (FTPSSM). These bonds are not subject to mandatory quotation: Symbol Name Coupon Maturity HNTC.GA Huntsman Corp. 10.625 3/31/01 SCTI.GA SCI Tele Inc. 11.000 6/30/
Notice To Members 94-54
SUGGESTED ROUTING Senior ManagementLegal &amp; Compliance Executive Summary At its May 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on the Report of the Subcommittee on Punitive Damages of the NASD Legal Advisory Board. The Report proposes a number of approaches that the NASD might adopt for the award of punitive damages in
Notice To Members 92-29
SUGGESTED ROUTING:* Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. As of April 21, 1992, the following 65 issues joined the Nasdaq National Market bringing the total number of issues to 2,819: Symbol Company Entry Date SOES Execution Level CBSA Coastal Bane Savings Association 3/25/92 1000 COLL Collins
FINRA Rule 2111 (Suitability) FAQ
The following frequently asked questions (FAQs) provide guidance on FINRA Rule 2111 (Suitability). This document consolidates the questions and answers in Regulatory Notices 12-55, 12-25 and 11-25, organized by topic.