Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
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IM-8310-2
Investment Adviser / Representatives
U-4
U-5
Executive Summary
The Securities and Exchange
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Comment Period Expires July 30, 1999
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FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
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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FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
OTC Equity Trading and Reporting in the Event of Systems Issues
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
