Displaying 671 - 680 of 11869 Results
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
Notice To Members 88-47
ROUTE TO Senior Management Institutional Legal & Compliance Operations Options Trading REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD is requesting comment on a proposed amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of
Notice To Members 93-79
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The Nasdaq Stock MarketSM and the securities exchanges will be closed on Friday, December 24, 1993, in observance of Christmas 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* Dec
Notice To Members 89-30
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 24, 1989. "Regular way" transactions made on the business days immediately preceding that day will be subject to the
Report From FINRA Board of Governors Meeting – February 2025
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of FINRA’s 2024 fine monies.
Notice To Members 95-70
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
Notice To Members 95-51
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
Notice To Members 94-85
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Friday, November 11, 1994, and Thanksgiving Day, Thursday, November 24, 1994. On Friday, November 11, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it
Notice To Members 94-30
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, Memorial Day, May 30, 1994. "Regular way" transactions made on the business days noted below will be subject to the following schedule: Trade Date Settlement Date Reg. T Date* May 20 May 27 Jun. 1 23 31 2 24 Jun. 1 3
Notice To Members 94-20
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading The Nasdaq Stock Market™ and the securities exchanges will be closed on Good Friday, April 1, 1994. "Regular way" transactions made on the business days noted below will be subject to the following schedule: Trade Date Settlement Date Reg. T Date* Mar. 24 Mar. 31 Apr. 5 25 Apr. 4 6 28 5 7 29