INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
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 closed on Monday,
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers, Inc. (NASD®) Rule
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
SEC Approves FINRA Rule Concerning Self-Trades
New Payments for Market Making Certification Requirement for FINRA Form 211
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
April 2014 Supplement to the Security Futures Risk Disclosure Statement
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
