Whitepaper on Artificial Intelligence (AI) in the Securities Industry
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA announced today that it has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment is effective July 22, while Glynn’s appointment is effective in September. Both will report to Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA.
list of Participant Information And Legal Agreements
Comment Period Expires: September 30, 1998
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Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
Under the current interpretation governing the Public Disclosure Program, information on all felony offenses is disclosed indefinitely. NASD Regulation, Inc. (NASD Regulation) requests comment from members and
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Legal & ComplianceOperationsSystemsTrading
As of September 24, 1993, the following 41 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,264:
Symbol
Company
Entry Date
SOES Execution Level
ACOM
A+ Communications, Inc.
8/25/93
1000
GBIZ
Grow Biz International, Inc.
8/25/93
1000
GWALY
Great Wall Electronic
Summary
Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products. The new requirements for initial and maintenance margin are detailed below.
In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio
StatusCode for StatusDescriptionAbandonedABANDONEDA manually set status that indicates that information for an individual has not been submitted to a state within the time period specified by the state. The individual cannot conduct business.Administrative TerminationADMTERMA status which has been set pursuant to a termination for administrative reasons (i.e. Mass Terminations)Approved Pending
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Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1991, the following 11 issues joined Nasdaq/NMS, bringing the total number of issues to 2,573:
Symbol
Company
Entry Date
SOES Execution Level
FBII
First Bancorp Indiana, Inc.
12/13/90
500
CATY
Cathay Bancorp, Inc.
12/14/
