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SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT
EXECUTIVE SUMMARY
Participation in the Securities and Exchange Commission-approved Automated Confirmation Transaction (ACT) service will become mandatory for all self-clearing firms during the first quarter of 1990. The service
On September 28, 2005, the SEC approved rule filing SR-NASD-00-23 relating to the OATS rules.
TO: All NASD Members
Recently, Norman T. Wilde, Jr., Chairman of the NASD, received a letter from Vice President George Bush advising of the Administration's formation of a Task Group to review the existing system of federal regulation of financial institutions and services.
The Vice President explained in his letter that the Task Group would very much appreciate obtaining the views of
In observation of Independence Day, the ORF System will be closed on Tuesday, July 4, 2023. Please be advised that the ORF system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
Normal Hours
In observation of Independence Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Tuesday, July 4, 2023. Please be advised that the TRFs will close early on Monday, July 3, 2023. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
NYSE TRF:
In observation of Independence Day, the FINRA Alternative Display Facility (ADF) will be closed on Tuesday, July 4, 2023.
Please be advised that the ADF will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
Market Session
In observation of Independence Day, the TRACE system will be closed on Tuesday, July 4, 2023. Please be advised that the TRACE system will close early on Monday, July 3, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions
COVID-19: A Message From FINRAStay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration Depository (CRD®)
Content Outline
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle