SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 15, 1996. On January 15, 1996, The Nasdaq Stock MarketSM
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
SUGGESTED ROUTING
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 16, 1995. On January 16, 1995, The Nasdaq Stock Market™ and the
New Alert-Reporting Criterion for Leverage in FOCUS Reports
ROUTE TO
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Other
FINRA's Enforcement Department is conducting a review of broker/dealers that provide Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA") to their customers.
