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(a) Obligations of the Registered Person
(1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied:
(A) The customer is a member of the registered person's immediate family; or
(B) Upon learning of such status, the
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be closed on Friday, December 25, 1998, in observance of Christmas Day, and Friday, January 1, 1999, in observance
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Each member shall be assessed a regulatory transaction fee. The amount shall be determined periodically in accordance with Section 31 of the Act. Transactions assessable under this Section 3 that must be reported to FINRA shall be reported in an automated manner.
Amended by SR-FINRA-2008-001 eff. Jan. 1, 2008.
Amended by SR-NASD-2006-055 eff. Dec. 1, 2006.
Amended by SR-NASD-2004-129 eff
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years.View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Securities Data GlossaryData SourcesFINRA members report information on transactions in U.S.
Proposed Rule Change to Amend FINRA Rules to Conform to the Commission’s Proposed Amendment to SEA Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-dealer Transactions from T+3 to T+2
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1983. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
Trade
INFORMATIONAL
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
Columbus Day: Trade Date—Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the
