The Financial Industry Regulatory Authority (“FINRA”) recently published Regulatory Notice 16-08 to provide guidance to member firms regarding the contingency offering requirements of SEA Rules 10b-9 and 15c2-4 and to remind broker-dealers of their responsibility to have reasonably designed procedures to ensure compliance with these rules. The three-part notice defines best efforts contingency offerings, summarizes [...]
Financial and Operations Principals (FINOPs) across the country will have a little surprise waiting for them when they log in to file their firm’s March / Q1 2016 FOCUS reports! Member firms might have missed FINRA’s bullet point in the 3/23/16 Weekly Update announcing the regulator’s redesigned Electronic Financial and Operational Combined Uniform Single (EFOCUS) application. The [...]
Cartana Consulting Solutions, LLC is excited to announce the launch of its new website CartanaConsulting.com. The new site offers background information on the firm’s founder and principal, Ana R. Carter, as well as details regarding the services offered by Cartana. The firm specializes in providing outsourced Financial and Operations Principal (FINOP), outsourced Chief Financial Officer [...]