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,
Updated: April 18, 2017
Good afternoon. Thank you, Merritt [Fox], for that kind introduction and for the invitation to speak with you this afternoon. It’s a pleasure to be with you today and to participate in this ambitious initiative to conduct a New Special Study of the securities markets.
As all of you know, the original Special Study was a defining event in the history of U.S.
REQUEST FOR COMMENT
Sales Contests and Non-Cash Compensation
Comment Period Expires August 5, 2005
SUGGESTED ROUTING
KEY TOPICS
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Sales Contests
Non-Cash Compensation
Executive Summary
NASD currently
SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 3, 1987, the following 15 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,087:
Symbol*
Company
Location
BMED
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 6, 1987, the following 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,063.
Symbol*
Company
Location
ARTW
It appears that the violation of the Rule, as described in your letter, relates directly to the failure of the firm to develop and institute procedures reasonably designed to ensure compliance of the Rule i.e., for the review and approval of political contributions by a municipal finance professional prior to making the contribution. Accordingly, the firm's request for an exemption is denied.
Number
Date
Title
2022-85
May 20, 2022
SEC Charges Wells Fargo Advisors with Anti-Money Laundering Related Violations
SEC Order
2022-83
May 16, 2022
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
SEC Complaint
2022-1
January 5, 2022
SEC Charges Additional Defendant in Phony
The Neutral Corner Volume 4 - 2017
Mission Statement
Year End Message
Seven Steps to a Successful Telephonic Mediation (Christopher Kauders, FINRA Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Hurricane Maria Update: Guidance for Cases Venued in Puerto Rico
Demographic Survey—Thank You
NYCLA Program: 19th Annual FINRA
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
