The following persons associated with a member are not required to be registered with FINRA:(a) persons associated with a member whose functions are solely and exclusively clerical or ministerial; and(b) persons associated with a member whose functions are related solely and exclusively to:(1) effecting transactions on the floor of a national securities exchange and who are appropriately
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 14, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the definitions of "branch office" and "office of supervisory jurisdiction." Under the proposed amendments, any office at which certain specified functions take place would be defined as an office of supervisory
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
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
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
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
Legal & Compliance
Registration
Training
NASD® member firms may now order rosters of their registered persons who are subject to the Regulatory Element of the new Securities Industry Continuing Education rules, which were effective July 1, 1995. (See Special Notice to Members 95-13, March 8, 1995).
Firm rosters will be prepared from a database periodically
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, September 5, 1994, in observance of Labor 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*
Aug. 26
Sept
SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
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
