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SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Operations
Systems
Trading
The NASD® will observe the following holiday schedule for 1996:
January 1
New Year's Day
February 19
President's Day
April 5
Good Friday
May 27
Memorial Day
July 4
Independence Day
September 2
Labor Day
November 28
Thanksgiving Day
December 25
Christmas Day
Questions regarding
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
Amy C. Sochard, Vice President, Advertising Regulation, at (240) 386-4508; or
Ira D. Gluck,
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record. NASD strongly supports H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003.
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
The Department of Treasury (Treasury) asked the NASD® to remind its members about regulations issued by the Office of Foreign Assets Control (OFAC). These regulations require broker/dealers to block1 accounts and other assets of countries identified as threats to national security by the
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange Commission (
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that had an
Notice of FINRA Regional Committee Elections and Ballots
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
November 26
In observance of Christmas and New Year’s Day, the TRACE system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 Closed
Friday, January 1, 2021 Closed
See the table below for a schedule of modified hours for Thursday, December 24, 2020 (these hours also apply to BTDS/ATDS/SPDS). Thank you