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Executive Summary
Effective October 1, 1999, the maximum
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced that it has fined SMH Capital Inc. (f/k/a Sanders Morris Harris, Inc.) of Houston, TX, $450,000 for failing to adopt adequate supervisory procedures and systems designed to address its prime brokerage and soft dollar services to hedge funds. As a result, SMH made improper payments of $325,000 in soft dollars to
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the members of its 23-member Interim Board of Governors, who will serve until FINRA's three-year Transition Board of Governors is elected at an Annual Meeting on October 26.At that Annual Meeting, Small Firms (those with 150 or fewer registered representatives) will elect three Board representatives. Mid-
Summary
FINRA has received reports about increasing numbers and sophistication of ransomware incidents. Ransomware typically involves bad actors gaining unauthorized access to firm systems and encrypting or otherwise accessing sensitive firm data or customer information, then holding that hijacked data for ransom. Some ransomware attacks have become significant threats that include theft of data
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
An exemption is granted based on consideration of the MSRB’s published interpretation of Rule G-37 regarding mergers of corporations in the municipal securities industry3 and on your representation that Individual will not be engaged in helping Firm A obtain municipal securities business or engaged in municipal securities representative activities before September 24, 2001, when the two-year ban under Rule G-37 would otherwise expire.
As with any new technology, quantum computing brings with it both opportunities as well as risks. Quantum computing may have a profound impact on the securities industry, whether for larger and more well-resourced firms seeking to leverage quantum advantage or for firms of all sizes preparing to defend against attacks on present-day cryptography. In this context, market participants must consider