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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 1, 1986, 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
TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
ACTION REQUESTED
Regulatory Fee
Comment Period Expires: February 28, 2002
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KEY TOPICS
Legal & Compliance
Senior Management
NASD By-Laws
Regulatory Fees
Executive Summary
The National Association of Securities
*IF THIS GOES PUBLIC PLEASE RESPECT MY PRIVACY AND DONT USE THE WORD 'DIG'*
I HAVENT BEEN ABLE TO RESPOND TO A REQUEST FOR COMMENTS SUGGESTIONS REQUESTED A COUPLE OF YEARS AGO BECAUSE I WAS TAKING CARE OF 3 FAMILY MEMBERS WHO HAVE DEMENTIA ONE OF WHICH RECENTLY DIED SO I AM NOW ABLE TO COMMENT IMMEDITELY.
AWHILE BACK I HAD WENT TO VARIOUS FULL SERVICE BROKERS SEEKING TO JOIN UP
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 5, 1983, 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
Washington, D.C. — The American Federation of State, County and Municipal Employees' (AFSCME) Training and Education Institute today announced the creation of Investor Education for Working Families, a ground-breaking program funded with a $692,180 grant from the Financial Industry Regulatory Authority Investor Education Foundation.The new program is designed to teach AFSCME members, who
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 21, 1983, in observance of Washington's Birthday. "Regular-Way" transactions made on the business days preceding that day will be settled according to the following schedule.
Trade Date-Settlement Date Schedule For
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The U.S. Department of the Treasury recently adopted regulations under the South African Sanctions Act. The provisions of the Act were the subject of NASD Notice to Members 86-76.
This notice provides information relating to the new investment provisions of the Act which became effective on November 16, 1986.
The full text of
SEC Approves Consolidated Front Running Rule
I notice you are welcoming comments on regulatory notice 21-19 regarding short positions.In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen with