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; [...]
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 [...]