SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
INFORMATIONAL
Alternative Trading Systems that Trade Security Futures
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
Alternative Trading Systems (ATSs)Security Futures
Executive Summary
On January 27, 2003, the Securities and Exchange Commission (SEC) approved rule
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 11, 1993. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date since many of the nation's
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On February 26, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D that require members to append a fifth-character location indicator to their market-maker identification symbol (MMID) in securities that are traded at a location away from the primary
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1992. On this day, securities exchanges and The Nasdaq Stock Market™
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
(a) Recording and Reporting Industry Member Data
(1) Subject to paragraph (a)(3) below, each Industry Member shall record and electronically report to the Central Repository the following details for each order and each Reportable Event, as applicable ("Recorded Industry Member Data") in the manner prescribed by the Operating Committee pursuant to the CAT NMS Plan:
(A) for original
