(a) Upon motion of a party, the panel may order the following without the use of subpoenas:
(1) The appearance of any employee or associated person of a member of FINRA; or
(2) The production of any documents in the possession or control of such persons or members.
(b) The motion must include a draft order and must be filed with the Director. The requesting party must serve the motion and
(a) Upon motion of a party, the panel may order the following without the use of subpoenas:
(1) The appearance of any employee or associated person of a member of FINRA; or
(2) The production of any documents in the possession or control of such persons or members.
(b) The motion must include a draft order and must be filed with the Director. The requesting party must serve the motion and
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 Veteran's Day, Wednesday, November 11, 1992, and Thanksgiving Day, Thursday, November 26, 1992. On
SUGGESTED ROUTING*
MunicipalOperationsSystemsTrading
*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 Veteran's Day and Thanksgiving Day.
On Friday, November 11, the NASDAQ System and the exchange markets will be open for trading. But, it will not be
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 14, 1991. On this day, the Nasdaq system and the exchange markets will be
Social isolation, whether voluntary or involuntary, has long been a leading factor contributing to the financial exploitation of older investors. FINRA, NASAA, the SEC's Office of Investor Education and Advocacy, NFA and the CFTC’s Office of Customer Education and Outreach are continuing to raise awareness of the devastating impact social isolation can have on senior investors and offer tips that can help.
SUGGESTED ROUTING
Internal Audit
Legal & 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 3, 1998, in observance of Independence Day. "Regular way" transactions made on the business days noted below
SUGGESTED ROUTING
Internal Audit
Legal & 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
SUGGESTED ROUTING*
Internal AuditMunicipalOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Christmas Day and New Year's Day
Securities markets and the NASDAQ System will be closed on Monday, December 26, 1988 and Monday, January 2, 1989 in observance of Christmas Day and New Year's Day respectively. "Regular-way"
SUGGESTED ROUTING
Internal Audit
Legal & 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
