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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Happy Holidays & Safe Trade Settlements - FINRA
December 16, 2011
FINRA posted the settlement schedule for 2012 holidays to assist member firms and reduce the number of Reg T and 15c3-3 extensions that typically are denied around holiday-time. The dating of “regular way” transactions are detailed for all exchange and certain non-exchange holidays.
FINRA Staff Contacts. Direct questions to: (i) Debra German, Sr. Credit Regulation Coordinator - Risk Oversight & Operational Regulation (ROOR): (646) 315-8467; (ii) Theresa Reynolds, Credit Regulation Coordinator, ROOR: (646) 315-8567; or, (iii) Vincent Rotolo, Sr. Credit Specialist, ROOR: (646) 315-8576.
For further details, go to: [FINRA InfoNote, 12/15/11].
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