Cartana Consulting Solutions’ founder and principal, Ana R. Carter, attended the April 2, 2020 Small Firm Conference Call hosted by FINRA staff. The following are some of her most important take away points: FINRA has cancelled the 2020 Annual Conference in Washington, DC. The FINRA Annual Assessment invoices will be generated and distributed as usual; [...]
Cartana Consulting Solutions’ founder and principal, Ana R. Carter, will be presenting as a panelist at the 2019 FINRA Annual Conference in Washington, DC. Join her, and her fellow panelists and FINRA staff, on Thursday, May 16, 2019, for an overview of recent developments associated with financial and operational rules. The panel will discuss common [...]
Rejoice FINOPs everywhere!! Effective September 1, 2017, we will have one less filing to submit! Earlier this month, the Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) announced that they have joined forces to make the filing process of annual audited financial statements a bit easier for us. The two agencies [...]
Recently, the Financial Industry Regulatory Authority (“FINRA”) announced that, effective June 18, 2016, they are retiring the Flex-Funding and Renewal account pages within Gateway’s Web CRD/IARD and disabling the accounting-related email notifications. Users will need to head over to the new and improved E-Bill section to obtain details about their firm’s flex-funding and renewal accounts. [...]
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 [...]
The official Cartana Consulting Solutions, LLC site is under construction. Check back again soon! Thank you!
