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 Columbus Day, Monday, October 13, 1986. 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
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 20, 1986. On Monday, January 20, 1986, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
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).
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration
WASHINGTON – FINRA today released a
2018 RegTech Report
outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 22, 1986
The National Association of Securities Dealers, Inc. (NASD), has approved proposed amendments to Schedule E to the NASD By-Laws that are intended to clarify the scope and application of the schedule. Schedule E contains various requirements applicable to the public offering of a member's securities or
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
"Regular-Way" transactions made on Monday, October 10, Columbus Day and the days immediately preceding this day will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other securities markets will be
The Fund Analyzer offers information on over 30,000 mutual funds, Exchange Traded Funds (ETFs), and Exchange Traded Notes (ETNs).
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).
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA), in coordination with the Securities and Exchange Commission (SEC) and other regulatory authorities, has been monitoring the U.S. broker-dealer subsidiaries of Bear Stearns & Co. Inc. These broker dealers (Bear, Stearns & Co Inc., Bear, Stearns Securities Corp., Bear Wagner Specialists LLC) remain in compliance with the SEC's and FINRA's capital rules.
