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
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below
(a) Comparisons or Confirmations(1) Each party to a transaction shall send a Uniform Comparison or Confirmation of same by the end of the day on the trade date.(2) Comparisons or confirmations shall be compared upon receipt to ascertain whether any discrepancies exist. If discrepancies do exist, a corrected Uniform Comparison or Confirmation shall be sent by the party in error.(3) This Rule shall
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.In the newly created role, Talib will be responsible for leading FINRA’s surveillance program, which serves a unique and critical role in fostering the integrity of the U.S. securities markets. As the markets have
(a) Each member shall maintain a record of total "short" positions in all customer and proprietary firm accounts in all equity securities (other than Restricted Equity Securities as defined in Rule 6420) and shall regularly report such information to FINRA in such a manner as may be prescribed by FINRA. Reports shall be received by FINRA no later than the second business day after the
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
Martin Luther King, Jr., Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will be
TO: All NASD Members and Other Interested Persons
On December 30, 1983, the staff of the SEC's Division of Market Regulation agreed to an extension of the temporary relief it previously granted under Rule 15e3-l (the "net capital" rule) and Rule 15c3-3 (the "customer protection" rule). This temporary relief, which was scheduled to expire on December 31, 1983, provides an
(a) A securities contract that has not been completed by the seller according to its terms may be closed by the buyer not sooner than the third business day following the date delivery was due, in accordance with this Rule.
However, this Rule shall not apply:
(1) where the contract is subject to the “buy-in” requirements of a national securities exchange or a registered clearing agency, in which
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
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
Within FINRA, we view ourselves as working on the “front lines” of investor protection. What does that mean? It means that we act quickly to identify misconduct, stop fraud and prevent losses, obtain restitution for harmed investors, and remove bad actors from the brokerage industry. Here, we are focusing on that last piece—barring bad actors from associating with a
