Displaying 32771 - 32780 of 34826 Results
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
SEC Approves Rule Governing Sales of Securities on Military Installations to Members of the U.S. Armed Forces or Their Dependents
Overview
The financial services industry heavily relies on cryptography to safeguard digital information. Whether to securely store customers’ personally identifiable information (PII), access the internet through a virtual private network (VPN) or ensure the integrity of a trade order placed on a mobile application, cryptographic algorithms play a central role in many critical functions within
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
Quantum computing is an emerging technology that relies on quantum mechanics to perform calculations not possible for even the most powerful classical supercomputers.15 To better understand what is behind quantum computing’s exponentially faster processing times, the National Institute of Standards and Technology (NIST) notes that it may help to think of computers like “microscopic cities” with
In FINRA staff’s survey of quantum computing use cases, several firms indicated that they are examining how they can benefit from quantum computers when conducting various activities, including trade execution, portfolio management, risk assessments and fraud detection.34 Additional firms indicated to FINRA that they are assessing the potential risk quantum computers may pose to current
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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 in its early stages, numerous financial institutions have begun experimenting with this evolving technology,
In a recent nationally representative survey, more than 1,000 adults shared what worries them most in their lives. On this episode, we sit down with the head of the FINRA Investor Education Foundation to discuss the recent survey and its findings, while also providing tips and resources to help make money a little less spooky.
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and