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Section IV: Regulatory Considerations for Quantum Computing

Section III: Potential Threats to Cybersecurity

Section II: Potential Applications of Quantum Computing in the Securities Industry

Section I: Overview of Quantum Computing

Quantum Computing and the Implications for the Securities Industry

SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.

The Neutral Corner

22-02025.pdf

22-02618.pdf

2020067843801 Maxim Group LLC CRD 120708 AWC vr (2023-1698625207393).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020067843801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Maxim Group LLC (Respondent) Member Firm CRD No. 120708 Pursuant to FINRA Rule 9216, Respondent Maxim Group LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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