By Robert Cook, President and CEO, FINRA. In October 2023, the SEC adopted Rule 10c-1a, which is intended to enhance transparency in the securities lending market. In effect, the rule requires market participants to report securities lending transactions to FINRA, and requires FINRA to adopt rules establishing a system to facilitate such reporting and to publicly disseminate specified reported loan information. Earlier this month, the SEC approved the required FINRA rules.
The FINRA test facility (NTF) will be unavailable for testing all FINRA Multi Product Platform (MPP) facilities, on Friday, August 29, 2014.
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 24, 2022. Please be advised that the ORF system will close early on Friday, November 25, 2022. 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
In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 24, 2022. Please be advised that the TRFs will close early on Friday, November 25, 2022. 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
In observation of the Thanksgiving holiday, the FINRA Alternative Display Facility (ADF) will be closed on Thursday, November 24, 2022.
Please be advised that the ADF will close early on Friday, November 25, 2022. 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
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 24, 2022. Please be advised that the TRACE system will close early on Friday, November 25, 2022. 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-
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the third quarter of 1986. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
86-48
July 8, 1986
NASDAQ National
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the fourth quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
84-52
October 5, 1984
Next NASDAQ/NMS Phase-
Rules & GuidanceFINRA ManualFINRA Manual UpdatesFINRA RulesCapital Acquisition Broker RulesFunding Portal RulesSEC Rules and RegulationsTemporary Dual FINRA-NYSE Member Rule SeriesImmediately Effective Rule Changes Pending Issuance of a Regulatory NoticeImmediately Effective Rule Changes Pending SEC NotificationApproved Rule Changes Pending Determination of Effective DateRetired
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
