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September 28 – 30, 2021
Agenda
Tuesday, September 28
12:30 p.m.
NEW Keynote Address: The Honorable Joyce Beatty (D-OH), Chair, U.S. House of Representatives Subcommittee on Diversity and Inclusion
Congresswoman Joyce Beatty (D-OH) chairs the Subcommittee on Diversity and Inclusion of the House Financial Services Committee and this year became the 27th chair of the historic 58 member
Thank you so much Lori for that kind introduction, and thank you, Mr. Chairman, for hosting this important program. I am thrilled to be here. And I want to add my welcome to Lori's and Chairman Cox's.
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
(a) Any Trade Reporting Facility Participant that is required to obtain, or otherwise wishes to use, more than one Market Participant Symbol ("MPID") for purposes of reporting trades to a Trade Reporting Facility must submit a written request, in the form required by FINRA, to, and obtain approval from, FINRA Market Operations for such additional MPID(s).
(b) A Trade Reporting
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule for 1992:
January 1
New Year's Day
July 3
Independence Day (Observed)
February 17
Presidents' Day
September 7
Labor Day
April 17
Good Friday
November 26
The Digital Communication section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
These proposal are an insult to humanity. The hubris is disgusting. People who think they know better than anyone should be locked away. To limit the public's ability to invest in these funds is to further RIG the game against the public. Unelected bureaucrats doing the bidding of special interests. All this that these LOSERS, bc that is what these special interests are, can no longer beat
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The NASD will observe the following holiday schedule in 1989:
January 2
New Year's Day (Observed)
July 4
Independence Day
February 20
Presidents' Day
September 4
Labor Day
March 24
Good Friday
November 23
The Cyber and Analytics Unit (CAU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program would like to bring an important cyber-related development to your attention. The Cybersecurity & Infrastructure Security Agency (CISA) and the FBI issued a “Shields Up” warning this week regarding potential Russian cyberattacks to target U.S. organizations related to Russia’s
This Father's Day, show Dad that when it comes to saving for the future, and keeping your finances in check, you've got it covered.