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Good Morning. Thank you so much for being here with us today. I hope you will find the next two days to be a productive use of your time and that you will leave with valuable information and perhaps even some new friendships.
A. Delegation of Functions and Authority:
1. Subject to Section I.B.9., FINRA hereby delegates to FINRA Regulation and FINRA Regulation assumes the following responsibilities and functions as a registered securities association:
a. To establish and interpret rules and regulations and provide exemptions for FINRA members including, but not limited to, fees, membership requirements and dispute
Firms cited several different benefits and challenges they encountered during their cloud journey.
In particular, firms noted that in assessing the potential benefits and challenges related to the use of cloud computing it is important to assess them in comparison to the other alternatives available to firms, such on-prem environments (which carries its own relative benefits and challenges). The
N.A. INVESTCORP LLC280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017N.B. ZOULLAS SECURITIES, INC.ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119N.E. PRIVATE CLIENT, LTD790 NORTH MAIN STREET, PROVIDENCE, RI 02904N.I.S. FINANCIAL SERVICES, INC.500 EAST 9TH ST., KANSAS CITY, MO 64106Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103N4 FINANCIAL, INC.609 WEST CALIFORNIA WAY,
SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
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Executive Summary
On January 7, 1997, in Release No. 34-38132, the Securities and Exchange Commission (SEC) approved NASD® rules permitting the quotation of Direct Participation Programs (DPPs or limited partnerships) in the OTC Bulletin Board® Service (OTCBB) and requiring all transactions in DPPs to
FINRA's Research and Development Program is using advanced analytics to change the way FINRA performs its essential regulatory functions. It is designed to be quick and agile, hoping to find transformative new technologies, but willing to fail and fail fast when an idea doesn't work out. On this episode, we learn more.
We publish The Neutral Corner to provide arbitrators and mediators with current updates
on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.