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Notice To Members 92-14
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Securities exchanges and The Nasdaq Stock MarketSM will be closed on Good Friday, April 17, 1992. "Regular way" transactions made on the business days immediately preceding that day will be subject
Notice To Members 92-6
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Securities exchanges and The Nasdaq Stock MarketSM will be closed on Monday, February 17, 1992, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days
Notice To Members 91-17
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Securities markets and the Nasdaq system will be closed on Good Friday, March 29, 1991. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule
Previous Month Changes to List of Broker-Dealer Firms We Regulate
For the period of 4/1/2025 through 4/30/2025AALIRA HEALTH TRAALIRA HEALTH TRANSACTION SERVICES, LLCNAME CHANGED TO: KADENWOOD CAPITAL, LLCALIRA HEALTH TRAKADENWOOD CAPITAL, LLCNEW NAME OF: ALIRA HEALTH TRANSACTION SERVICES, LLCAMERICAN ENTERPRAMERICAN ENTERPRISE INVESTMENT SERVICES INC.AMERIPRISE FINANCIAL SERVICES, LLCAMERIPRISE FINANCIAL SERVICES, INC.AMERICAN EXPRESS FINANCIAL ADVISORS INC.IDS
Notice To Members 91-14
SUGGESTED ROUTING:* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. Securities markets and the Nasdaq system will be closed on Monday, February 18, 1991, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be
Notice To Members 90-53
SUGGESTED ROUTING* Internal AuditLegal & ComplianceOperationsSystemsMunicipalSyndicateTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, September 3, 1990, in observance of Labor Day. "Regular way" transactions made on the preceding business days will be subject to the
Notice To Members 90-41
SUGGESTED ROUTING* Iternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Wednesday, July 4, 1990 in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to
Notice To Members 90-33
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, May 28, 1990 in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the
Notice To Members 90-24
SUGGESTED ROUTING* Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Good Friday, April 13, 1990. "Regular way" transactions made on the preceding
Notice To Members 90-7
SUGGESTED ROUTING* Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. Securities markets and the NASDAQ System will be closed on Monday, February 19, 1990, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be