How can a firm find out which registered individuals have completed their current CE requirement?
Firms will continue to have access to dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.
Can firms set up notifications for registered individuals about their CE requirements?
Firms can
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-
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
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
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"
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 28, 1984, 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
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 20, 1984. "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
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today announced the appointment of James P. Donovan as Senior Executive Vice President for Technology and Strategy. In addition to overseeing FINRA's corporate technology and strategy, Donovan is also responsible for registration and disclosure, market transparency facilities, member relations and FINRA's international
INFORMATIONAL
Revised Forms U4 and U5
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration Depository
Form U4
Form U5
Statutory Disqualification
Executive Summary
The Securities and Exchange Commission (SEC) has approved changes
(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
