2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
ACTION REQUESTED
NASD By-Law Amendments
Last Voting Date: January 22, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Corporate Governance
NASD By-Laws
Executive Summary
The
September 2008 Supplement to the Options Disclosure Document
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
Continuing Education Planning
