Posted: April 12, 2019
Holiday Reminder
The TRF Systems will be closed on Friday, April 19, 2019. As stated in the data feed interface specifications, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of TRF data, should take the necessary precautions to prevent data corruption. Thank you for your attention to this
Thank you, Elisse. Good morning, everyone - it's wonderful to see all of you here today. All of us at FINRA are committed to assisting you with your compliance efforts and these conferences are a large part of that effort. I'm thrilled you took the time to come to Scottsdale.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Columbus Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 13, 1997. On this day, The Nasdaq Stock MarketSM and the
GUIDANCE
Arbitration Time Limits
Effective Date: May 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Arbitration
Dispute Resolution
Eligibility of Arbitration Claims
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to Rule 10304 of the NASD Code of Arbitration
Procedure (Code) relating to time limits on
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
The Securities and Exchange Commission (SEC) recently approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 1120 relating to Continuing Education requirements ( see SEC Release No. 34-39712, dated March 3, 1998, and
Trade Date — Settlement Date
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 by the financial community of Columbus Day, Monday, October 14, 2002. On this
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material
Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
NASD has filed with the SEC a proposed rule change to amend Section 5 of Schedule A to the NASD By-Laws to clarify that two or more members that are under substantially the same ownership or control (commonly referred to as a "simultaneous filing group" or "SFG") may eliminate certain duplicate fees and assessments and to remind members to provide NASD with prior notice in the
