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(a) Each member shall maintain the following information:
(1) for each account:
(A) customer's name and residence;
(B) whether customer is of legal age;
(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of their responsibilities with respect to the account,
Beginning Friday, September 29, 2023, an enhancement to the client certificate request process will be introduced, and FINRA API clients will have additional encryption options during their recertification process. Clients will still be able to retain the client certificate size of 1024 bit, but will now be given choices to increase this size upon a certificate renewal.
Please see the technical
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2023. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of September 22, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter September 21,
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the new SEC rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure that were adopted on July 26, 2023. The SEC adopted final rules requiring disclosure of material cybersecurity incidents on Form 8-K and periodic disclosure of a registrant’s cybersecurity risk management, strategy and governance in annual reports.
B. Howell Griswold, Jr.
Alex, Brown & Sons, Baltimore, MD
1939
Francis A. Bonner
Blair, Bonner & Company, Chicago, IL
1940
Robert W. Baird
The Wisconsin Company, Milwaukee, WI
1941
H. H. Dewar
Dewar, Robertson & Pancoast, San Antonio, TX
1942
Henry G. Riter, 3rd
Riter
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot