XPP stands for eXtreme Parallel Processing. For larger systems with more complicated code, XPP helps achieve parallelism on the cluster at the lowest possible level i.e. individual queries to achieve maximum possible utilization.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) General
(1) In furtherance of FINRA's obligations to foster cooperation and coordination of the clearing, settling and processing of transactions in equity and
Monday, May 135:00 p.m. – 7:00 p.m.Registration & Information5:00 p.m. – 7:00 p.m.New Attendee Reception Tuesday, May 147:30 a.m. – 6:00 p.m.Registration & Information8:30 a.m. – 10:00 a.m.Continental Breakfast & Seating10:00 a.m. – 10:45 a.m.Plenary Session – Welcome Remarks and Fireside ChatSession Description: Join this session to hear perspectives from FINRA
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
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Executive Summary
On February 5, 1997, in Release No. 34-38245 (Release), the Securities and Exchange Commission(SEC) amended its broker/dealer record retention rule to allow broker/dealers to employ, under certain
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
The payment of a salary to a sales assistant by a registered person is not prohibited by NASD rules, nor would it require the registered person to register as a general sales supervisor under Rule 1022(g).<br/>
(a) Applicability of Rule
A claimant may request default proceedings against any respondent that falls within one of the following categories and fails to file an answer within the time provided by the Code:
(1) A member whose membership has been terminated, suspended, canceled, or revoked;
(2) A member that has been expelled or barred from FINRA;
(3) A member that is otherwise defunct; or
(
