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TRACE Reporting of Transactions in U.S. Treasury Securities: Demonstration of Forms
On-Demand Recording: Phone-In Workshop and WebEx Presentation; Original Program Date: April 6, 2017
Notice To Members 85-55
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Monday, September 2, 1985, in observance of Labor Day. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way
Notice To Members 85-42
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Thursday, July 4, 1985, in observance of Independence Day. "Regular-way" transactions made on the business days noted below will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way"
Notice To Members 85-34
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Monday, May 27, 1985, in observance of Memorial Day. "Regular Way" transactions made on the business days noted below will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
Sherry Cummins Comment On Special Notice – 6/30/21
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
Zheng Luo Comment On Regulatory Notice 22-08
Hi, I would like to express my opinions on Regulatory Notice #22-08: 1. How do members categorize products as complex? Have firms implemented categories or tiers of complex products and, if so, how have firms determined such tiers? What types of products have recently been introduced that should be viewed as complex? Does our description of characteristics that render a product complex continue
Notice To Members 85-16
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Good Friday, April 5, 1985. "Regular Way" transactions made on the business days immediately preceding that day will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way" Transactions Trade
Notice To Members 84-58
TO: All NASD Members and Municipal Securities Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Thursday, November 22, 1984 in observance of Thanksgiving Day. "Regular Way" transactions made on the preceding business days will be subject to the settlement date schedule listed below. Trade Date-Settlement Date Schedule For "Regular-
Notice To Members 84-42
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Monday, September 3, 1984, in observance of Labor Day. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way
Notice To Members 84-33
TO: All NASD Members and Municipal Securities Bank Dealers ATTN: All Operations Personnel Securities markets and the NASDAQ System will be closed on Wednesday, June 4, 1984, in observance of Independence Day. "Regular Way" transactions made on the business days noted below will be subject to the following schedule. Trade Date-Settlement Date Schedule For "Regular-Way"