The purpose of this Notice is to inform FINRA Small Firm members1 of the upcoming Small Firm Advisory Board (SFAB) election. The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA's Small Firm members, and meets in Washington, DC, prior to each FINRA Board of Governors meeting. SFAB members are expected to
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
FINRA Requests Comment on TRACE Dissemination Issues
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Thursday, December 24, 2015
SEC Approves Amendments to FINRA Rule 4570
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
U.S. Treasury Security Auction Awards
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
Summary
This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)).
Questions concerning this Notice should be directed to:
James Barry, Director, Credit Regulation, Office of Financial and Operational Risk Policy, at (646) 315-8347 or by email;
Joseph David, Principal Specialist, Credit
