A list of frequently asked questions related to UPC.
Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking Items
WASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board re-elected Eric Noll as Board Chair, re-appointed three public governors and approved three rulemaking items. The Board also continued its engagement with key stakeholders, hearing from
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Friday, November 11, 1994, and Thanksgiving Day, Thursday, November 24, 1994. On Friday, November 11, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it
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).
FINRA Announces Election Results for District Committees, District Nominating Committees
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*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 Veteran's Day, Wednesday, November 11, 1992, and Thanksgiving Day, Thursday, November 26, 1992. On
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On February 24, 1992, the United States District Court for the District of Kansas appointed the Securities Investor Protection Corporation (SIPC) trustee for:
Hyer, Bickson & Hinson8900 State Line, Suite
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 (Act) which provides for the federal regulation of government securities brokers and dealers. The new legislation, which becomes effective on July 25, 1987, creates new Section 15C under the Securities Exchange Act of 1934 (Exchange Act) entitled
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