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Tuesday, March 29
All times are listed in Eastern Time
8:30 a.m. – 4:30 p.m. Registration and Cybersecurity Solutions & Cloud Computing Exhibitors
8:30 a.m. – 10:00 a.m. Networking Breakfast
10:00 a.m. – 10:45 a.m. Welcome Remarks and Keynote Address
10:45 a.m. – 11:00 a.m. Break
11:00 a.m. – 12:
The Observations on Cybersecurity section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!
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
WASHINGTON – Due to a configuration error, some of the individuals who took the Series 24 supervisory examination in recent weeks incorrectly received a failing grade. The Financial Industry Regulatory Authority (FINRA) is notifying all of the affected firms and is correcting individual records in its CRD database.
FINRA administered Series 24 examinations to approximately 1,421 individuals from
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT
EXECUTIVE SUMMARY
Participation in the Securities and Exchange Commission-approved Automated Confirmation Transaction (ACT) service will become mandatory for all self-clearing firms during the first quarter of 1990. The service
For Your Information
National Association of Securities Dealers, Inc.
January 1989
Toll-Free Numbers for New York NASDAQ Operations Center Take Effect Soon
With the opening of business on January 9, 1989, the New York NASDAQ Operations Center may be reached via toll-free 800 service from all locations.
Effective January 9, 1989, the new numbers are:
For SOES operations information (e.g.,
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
(a) Each member or its agent that is a participant in a registered clearing agency, for purposes of clearing over-the-counter securities transactions, shall participate in fail reconfirmation and pricing services when offered.
(b)(1) A contract submitted to a reconfirmation and repricing service ("service") which has been DK'd ("Don't Know") by the