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Background
The Military Personnel Financial Services Protection Act ("Military Act") was enacted to protect members of the U.S. Armed Forces from unscrupulous practices regarding sales of insurance, financial and investment products. Congress amended Section 15A(b) of the Securities Exchange Act of 1934 with the enactment of the Military Act to require FINRA, as a registered securities
(a) General
(1) In furtherance of FINRA's obligations to foster cooperation and coordination of the clearing, settling and processing of transactions in equity and debt securities of any issuer with a class of publicly traded, non-exchange listed, securities in the OTC market and, in general, to protect investors and the public interest, FINRA's Operations Department ("Department
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTraining
*These are suggested departments only. Others may be appropriate for your firm.
Securities markets and the NASDAQ System will be closed on Monday, September 5, 1988, in observance of Labor Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule.
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, July 4, 1988, 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"
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 30, 1988, 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
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved a proposed Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits a member firm
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 1, 1988. "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
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 7, 1987, in observance of Labor 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
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, July 3, 1987, 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"
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 25, 1987, 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