Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
ACTION REQUESTED
Limit Orders — Manning
INFORMATIONAL
Arbitration Awards
Effective Date: September 18, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Arbitration Awards
Motions To Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
To respond to concerns raised by the General Accounting Office, NASD Dispute Resolution,
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
TO: All NASD Members
ATTN: Operations Principals, Cashiers, and P&S Dept.
The Securities and Exchange Commission has approved amendments to Sections 5, 9, 12 and 30 of the Uniform Practice Code. The Code prescribes the manner in which over-the-counter securities transactions other than those cleared through a registered clearing agency are compared, cleared and settled between NASD
Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2021; and
a summary of how eligible
The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.
Thank you very much—it's great to be here. I'd also like to thank President Rebecca Laird, and also Leslie Woolley, Chair of the Luncheon Committee, for the gracious invitation to meet with you. There is so much going on in our markets that it's hard to know what to talk about.
(a) Definitions
(1) For purposes of this Rule, the terms "CAT NMS Plan", "Industry Member", "Operating Committee", and "Participant" are defined as set forth in Rule 6810 (Consolidated Audit Trail—Definitions).
(2) "Subcommittee" means a subcommittee designated by the Operating Committee pursuant to the CAT NMS Plan.
(3) "CAT
GUIDANCE
NAC Nominations
Nomination Deadline: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National
