FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.
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
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of June 27, 1995, the following 57 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,804:
Symbol
Company
Entry Date
SOES Execution Level
IBNJ
Independence Bancorp, Inc.
5/26/95
200
NINE
Number Nine Visual
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of May 25, 1994, the following 65 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,653:
Symbol
Company
Entry Date
SOESSM Execution Level
BUCK
Buckhead America Corporation
4/28/94
200
MLXR
MLX Corp.
4/28/94
200
ABCO
American Buildings Company
4/29/94
500
BRKB
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
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on amendments to the NASD By-Laws implementing the recommendations of the Special Committee
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 17, 1994. On January 17, The Nasdaq Stock MarketSM and the
GUIDANCE
NAC Nominations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members
of the nomination procedures to fill two upcoming vacancies on the
National Adjudicatory Council (NAC). The three-year terms of the
NAC regional Industry members from
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of July 22, 1993, the following 72 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,186:
Symbol
Company
Entry Date
SOES Execution Level
CFBKP
Citizens Federal Bank, A Federal Savings Bank
6/23/93
200
PITC
Pittencrieff Communications, Inc.
6/23/93
1000
RCAP
Re Capital
GUIDANCE
NAC Nominations
Nomination Deadline: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National
