TO: All NASD Members
On September 7, 1984, the Securities and Exchange Commission ("Commission" or "SEC") approved amendments to the Association's Code of Arbitration Procedure. These rule changes will be effective on October 1, 1984. A summary of the major provisions and the text of the rule changes follows.
The amendments are intended to conform the provisions of the
The Suitability section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Friday, December 25, 1998, in observance of Christmas Day, and Friday, January 1, 1999, in observance
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, September 4, 1995, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, July 4, 1994, in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
June 24
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Tuesday, July 4, 1995, in observance of Independence Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement
INFORMATIONAL
Member Surcharges And Process Fees In Arbitrations
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration Fees
Code of Arbitration Procedure
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
Smishing is a tactic in which scammers send unsolicited messages to targets over short message service (SMS), or text messages. A newer development with this type of fraud involves scammers requesting that targets respond to messages to get around protections that automatically deactivate hyperlinks in messages received from unknown numbers.
