Regulatory Notice 23-17

Summary

FINRA is issuing this Notice to inform members that it is discontinuing collection of data under Rule 4540. The data collected under Rule 4540 is used in the Integrated National Surveillance and Information Technology Enhancements program (INSITE). The decision to discontinue the collection of data under Rule 4540 at this time is based on the availability of alternative sources of data that were not available when INSITE was developed and that have enhanced FINRA’s ability to assess risk.

Quantum Computing Has Potential to Reshape Securities Industry, New FINRA Report Says

Report Brings Attention to Opportunities and Risks Presented by the Technology

WASHINGTON— FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While practical quantum computing remains nascent, the research examines how the emerging technology that relies on quantum mechanics to perform complex calculations could significantly alter the securities industry in the future.

2019062948102 James Brett Stuart CRD 3022149 Complaint gg (2023-1701044399872).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Brett Stuart CRD No. 3022149, Respondent Disciplinary Proceeding No. 2019062948102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between September 2018 and August 2021 (the relevant period), Respondent James Brett Stuart—the Chief Executive Officer (CEO), Chief Compliance Officer (CCO), and majority owner of Richfield Orion International, Inc. (CRD No.
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