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Agenda is subject to change.Wednesday, October 910:00 a.m. – 11:30 a.m.Limited Capacity Pre-event Workshop—Registration RequiredCybersecurity Incident Management WorkshopJoin us for a Cybersecurity Incident Management Workshop! As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-
As with any new technology, quantum computing brings with it both opportunities as well as risks. Quantum computing may have a profound impact on the securities industry, whether for larger and more well-resourced firms seeking to leverage quantum advantage or for firms of all sizes preparing to defend against attacks on present-day cryptography. In this context, market participants must consider
We are conducting a comprehensive self-evaluation and organizational improvement initiative called FINRA360. The objective of this effort, which CEO Robert Cook launched in early 2017, is to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant
(a) Confirmations or Comparisons
(1) Each party to the transaction shall send a written "when, as and if issued" or "when as and if distributed" confirmation or comparison in the same form as set forth in the Sample Form appearing in Supplementary Material .01 of this Rule and pursuant to the requirements of Rules 11210(a), 11220, and 11860.
(2) Each confirmation or
The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
Exemption from lock-up provisions in Rule 2710(g) for shares to be issued upon the split of common stock that takes place within 180 days of the required filing of the offering with NASD when the pre-split shares were acquired prior to the 180 day timeframe.
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
Clarification Of Notice To Memers 98-10
NASD Notice to Members 98-10 (January 1998) entitled "Transaction Reporting And Quotation Obligations Under the Fixed Income Pricing System (FIPS)" contained a question and answer concerning compliance officers and the need for firms to report all transactions under The Nasdaq Stock Market, Inc., Fixed Income Pricing SystemSM (FIPSSM), regardless
