FINRA Announces Modifications Regarding Historic TRACE Data
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress.
Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
FINRA Expands the Order Audit Trail System to All NMS Stocks
Guidance to Members Affected by Hurricane Sandy
Amendments to FINRA Rule 9520 Series to Establish Procedures Applicable to Firms and Associated Persons Subject to Certain Statutory Disqualifications
