NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on February 28, 2003. NASD is proposing to extend the pilot program for TRACE fees to June 30, 2003, to provide a temporary reduction of certain fees for a one calendar month period
In March 2016, the SEC approved the adoption of FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers).
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
As we approach the end of the first quarter of 2024, FINRA’s Cyber and Analytics Unit (CAU) proactively warns member firms of continuing social engineering campaigns involving fraudulent representations of individuals purporting to be FINRA representatives. As with many types of social engineering campaigns, threat actors may use website domain names (sites) that are similar to FINRA.org (e.g., Finra-latam.org, finra.world, finra.eu), fraudulently use FINRA’s logo or purport to be legitimate FINRA employees. These domains and individuals are not associated with FINRA.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Monday, December 25, 1995, in observance of Christmas Day, and Monday, January 1, 1996, in observance of New Year's Day. "Regular way" transactions made on the business days noted below will be
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Good Friday, April 14, 1995. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Apr. 6
"Fines" = "hush money". Put the illegal shorters in jail SOON! Stop building your evidence because it's already been done for you via Overstock.com via gamestop via New Mexico vs. Banks. If the policies are preventing prosecution, put a vote to change them. Not next election, TODAY! This conflict of interest happening with your revolving door has got to stop TODAY! These
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 20, 1995, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg. T Date*
Feb.
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
1.
Election of persons to serve on
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Presidents' Day: Trade Date-Settlement Date Schedule
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, February 21, 1994, in observance of Presidents' Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade
