SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule
FINRA Announces Results of SFAB, NAC and District Committee Elections
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
Guidance on FOCUS Reporting for Operating Leases
SUGGESTED ROUTING*
MunicipalOperationsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1988. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 12, 1987. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONALDo-Not-Call RegistryEffective Date: March 31, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrainingCold CallDo-Not-CallTelemarketingTelephone SolicitationEstablished Business RelationshipExecutive SummaryOn January 12, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD
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TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflect the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 21, 1985. On Monday, January 21, 1985, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
