SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
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
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons" and about other OFAC regulations. On December 9, 1997, OFAC amended its regulations to require
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Trading
Executive Summary
New uniform provisions regarding the automated reporting requirement for Positions Hedging Stock Options will become effective on December 31, 1997.
New uniform provisions regarding the
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
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
SUGGESTED ROUTING*
Corporate Finance
Institutional
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 6, 2023, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all eligible firms be represented
