2019 National Compliance Outreach Program for Broker-Dealers
The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices.
2019 FINRA Cybersecurity Half-Day Seminar - Boca Raton
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at small- to medium- sized firms looking to understand and mitigate cybersecurity risks and what firms can do to protect their customer or firm confidential information.
2019 FINRA Cybersecurity Half-Day Seminars
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at small- to medium- sized firms looking to understand and mitigate cybersecurity risks and what firms can do to protect their customer or firm confidential information.
2019 FINRA Cybersecurity Half-Day Seminar - Los Angeles
FINRA’s Cybersecurity Half-Day Seminars provide attendees with information on the fundamentals of cybersecurity, help organizations understand vulnerabilities and threats related to cybersecurity, create resilience against cyber-attacks, and discuss effective practices for and handling issues related to cybersecurity.
The seminars are designed for compliance and cybersecurity professionals at small- to medium- sized firms looking to understand and mitigate cybersecurity risks and what firms can do to protect their customer or firm confidential information.
Information Notice 5/10/19
Summary
This Notice provides information to assist market participants in understanding the short sale volume data published on FINRA’s website. FINRA is aware that some market participants, including investors, may occasionally perceive the percentage of short sale volume to be unusually high or inconsistent with reported short interest data. This perception may cause market participants to draw inaccurate conclusions about the level or nature of short selling activity in the relevant security.
Broker Dealer Firms We Regulate - #
&PARTNERS
40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 37215
1031 SECURITIES INC.
25300 WEST 13 MILE RD, FRANKLIN, MI 48025
16 POINTS LLC
10101 COND ROYAL PALM, VEGA ALTA, PR 00692
1851 SECURITIES, INC
ONE AMERICAN ROW, HARTFORD, CT 06102
1964 GLOBAL
71 MURRAY STREET, NO. 8, NEW YORK, NY 10007
1ST DISCOUNT BROKERAGE, INC.
8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 33467
2021 CAPITAL
20 S CLARK STREET, STE 700, CHICAGO, IL 60603
22V SECURITIES LLC
15 ROCKAWAY AVENUE, GARDEN CITY, NY 11530
Broker Dealer Firms We Regulate - Y
YELLOW CARDINAL CORPORATE FINANCE, LLC
9120 UNION CENTRE BLVD, SUITE 200, WEST CHESTER, OH 45069
YIELDSTREET MARKETS LLC
300 PARK AVENUE, 15TH FLOOR, NEW YORK, NY 10022
YORK SECURITIES, INC.
160 BROADWAY, NEW YORK, NY 10038
YORK STOCKBROKERS, INC.
477 MADISON AVENUE, SUITE 643, NEW YORK, NY 10022
YORKVILLE SECURITIES, LLC
1012 SPRINGFIELD AVE, MOUNTAINSIDE, NJ 07092
YOSEMITE EXECUTION PARTNERS INC.
409 READ DR., LAFAYETTE, CA 94549
YOUNG & PARTNERS LLC
535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017