Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
FINRA Updates the Transparency Services FINRA Participant Agreement
Comment Period Expires July 30, 1999
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Notice of FINRA Regional Committee Elections and Ballots
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)
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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OTC Equity Trading and Reporting in the Event of Systems Issues
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
