In FINRA staff’s survey of quantum computing use cases, several firms indicated that they are examining how they can benefit from quantum computers when conducting various activities, including trade execution, portfolio management, risk assessments and fraud detection.34 Additional firms indicated to FINRA that they are assessing the potential risk quantum computers may pose to current
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In the last two years, FINRA has barred more than 730 brokers and associated persons. What was the most prevalent rule violation that resulted in these bars? You might think that the most brokers were barred for violating FINRA’s rule against misuse of customer funds (FINRA Rule 2150) or making fraudulent misrepresentations (Rule 2020) or, perhaps, for excessively trading customer accounts in
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Sec. 2. In the manner permitted by law, the Board or the registered agent may change the address of the Corporation's registered office in the State of Delaware and the Board may make, revoke, or change the designation of the registered agent.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
FINRA encourages comments on this paper, including areas where FINRA may:offer guidance or modifications to its rules to address the adoption of quantum computing;foster greater crypto agility within firms to prepare for post-quantum cryptography; andseek to prepare for a quantum future while maintaining investor protection and market integrity.FINRA also seeks input from financial industry
Sec. 2.2 In the manner permitted by law, the Board or the registered agent may change the address of FINRA Regulation's registered office in the State of Delaware and the Board may make, revoke, or change the designation of the registered agent.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
