Summary
The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.
Firms should note the following key dates in the renewal process:
October 21, 2019
Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via Web CRD/IARD.
img.snapshot {
display: block;
margin: 0 auto;
height: auto;
width: 100%;
max-width: 100%;
}
.Report_TOC {
border:1px solid #cccccc;
padding:10px;
}
.Report_TOC ul li {
font-size:.75em;
line-height:1.6em;
margin-bottom:5px;
}
.source,
.notes,
.backtotop {
font-size:.75em;
line-height:1.6em;
}
.notes {
color:#777777;
}
.table-subheading {
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
Thank you very much—it's great to be here. I'd also like to thank President Rebecca Laird, and also Leslie Woolley, Chair of the Luncheon Committee, for the gracious invitation to meet with you. There is so much going on in our markets that it's hard to know what to talk about.
Summary
Effective May 22, 2018, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $23.10 per million dollars in transactions to a new rate of $13.00 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on proposed
FINRA Updates the Transparency Services FINRA Participant Agreement
Comment Period Expires July 30, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility
Executive Summary
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 17, 2020.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background &
