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Remarks From the Security Traders Association Annual Conference
The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
Data Definitions for Treasury Securities Trade Activity. Data fieldDefinitionAggregate Indicator Aggregate Indicator field identifies if a transaction is eligible for the Treasury aggregate statisticsY - Aggregate EligibleN - Not eligible for the Aggregates As Of IndicatorThis field will be populated if the transaction being reported is an As/Of trade, Reversal, Cancel
Ryan Broussard is no stranger to the Createathon Winners’ Circle. Since participating in his first event in 2020, his team GLAM 2.0 won third place overall and the People’s Choice Awards in 2020, team AQUA took first place in 2021, and 2022 his team IPIC won first place overall and the People’s Choice Awards. That’s quite a winning resume, However, for Ryan, it’s not all about winning. It’s also about innovation, collaboration, networking, and developing creative solutions that benefit FINRA and ultimately firms and the industry.
FINRA is concerned about the little investor using leveraged ETFs? This is not about protecting the little investors. It's about what some large investment firms want. This is the second assault on these investment products. Back in December of 2015 the SEC Chair Mary Jo White tried to rein in leveraged index funds. It's funny the concern over the individual investors when back in 1999
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Bonds can be issued by corporations, local municipalities, government agencies and the federal government. Performing due diligence can help you assess the many characteristics that are associated with these fixed-income securities and evaluate overall suitability with your investing needs.
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
Applicants are
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Quantum mechanics is a branch of physics that deals with the complex properties of atoms and sub-atomic particles.2 Quantum computing leverages the principles of quantum mechanics to solve problems too large or complex for traditional computers. Although quantum computing is still
