Calendar of Events

Holiday Schedule | Trade Date--Settlement Date Schedule

NASDAQ OMX - U.S. Equity and Options Markets Holiday Schedule

2013 Holiday
January 01, 2013 New Year's Day (Observed) Closed
January 21, 2013 Martin Luther King, Jr. Day Closed
February 18, 2013 President's Day - U.S. Closed
March 29, 2013 Good Friday Closed
May 27, 2013 Memorial Day - U.S. Closed
July 03, 2013 Early Close - U.S. 1:00 p.m.
July 04, 2013 Independence Day - U.S. Closed
September 02, 2013 Labor Day - U.S. Closed
November 28, 2013 Thanksgiving Day - U.S. Closed
November 29, 2013 Early Close - U.S. 1:00 p.m.
December 24, 2013 Early Close - U.S 1:00 p.m.
December 25, 2013 Christmas Day Closed

* NASDAQ OMX will continue to send alerts to notify customers of days when the Market will close early. Please refer to those alerts for full information, including system operating times.

TradeDate—Settlement Date Schedule

Overview

Pursuant to Sections 220.8(b)(1) and (4) of Regulation T of the Federal Reserve Board, a broker-dealer must promptly cancel or otherwise liquidate a customer purchase transaction in a cash account if full payment is not received within five business days from the date of purchase or, pursuant to Section 220.8(d)(1), make application to extend the time period specified. The date by which members must take such action is shown below in the column titled “Reg. T Date.”

Similarly, SEC Rule 15c3-3 requires member organizations to take prompt steps to obtain possession or control of securities pursuant to paragraph (m) through a buy-in procedure or otherwise if securities are not received within 13 business days from the date of sale or, pursuant to paragraph (n), make application to extend the time period specified. The date by which members must take such action is shown below in the column titled “SEC Extension Date.”

Brokers, dealers and municipal securities dealers should use the settlement dates for purposes of clearing and settling transactions pursuant to the securities exchanges.

2013

Please view the FINRA 2013 Holiday Trade Date, Settlement Date and Margin Extensions Schedule.

More Information

Questions regarding the application of those settlement dates to a particular situation may be directed to the Corporate Data Integrity Department at:

  • +1 877 308 0523
    (U.S and Canada)
  • +1 203 926 3501
Download