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Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its specifications.
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A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.
A member may use negative response letters to effect a bulk transfer of employee equity compensation plan accounts, as directed by an employer.