Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees
Trade Date—Settlement Date Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance of the financial community of Veterans' Day, Monday, November 11,
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, August 19, 1996. The information relating to matters contained in this section is current as of August 5, 1996. Information received subsequent to August 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Chatfield Dean & Co. (Greenwood Village, Colorado) and Scott
Sec. 4.10 The Board may adopt such rules, regulations, and requirements for the conduct of the business and management of FINRA Regulation not inconsistent with the law, the Restated Certificate of Incorporation, these By-Laws, the Delegation Plan, the Rules of the Corporation, or the By-Laws of FINRA, as the Board may deem proper. A Director shall, in the performance of such Director
Sec. 4.10 The Board may adopt such rules, regulations, and requirements for the conduct of the business and management of FINRA Dispute Resolution not inconsistent with the law, the Certificate of Incorporation, these By-Laws, the Delegation Plan, the Rules of the Corporation, or the By-Laws of FINRA, as the Board may deem proper. A Director shall, in the performance of such Director
Michael Garawski is Senior Vice President and Director, Appellate Group, in FINRA’s Office of General Counsel (OGC). Mr. Garawski manages the program that advises FINRA’s National Adjudicatory Council and that represents FINRA in appeals that challenge FINRA’s regulatory actions before the SEC. Previously, Mr. Garawski served as Associate General Counsel, Regulatory Practice &
Elisabeth Craig is Senior Vice President & Deputy, FINRA, Credentialing, Registration, Education and Disclosure (CRED), responsible for oversight of registration functions and testing and continuing education.
Prior to joining FINRA, Elisabeth was employed as Counsel with DCS Advisory, an investment banking firm, where she focused on all aspects of legal and compliance matters. Elisabeth
FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.
