• FINRA Registration Update
  In response to SEC amendments adopted on August 23, 2023, the Financial Industry Regulatory Authority (FINRA) has proposed a short-form membership application process. The SEC amendments made some changes, including removing the gross income exemption, which had previously allowed firms to trade with other broker-dealer firms for their own account.
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• June 2024 Options Disclosure Document
  FINRA has informed member firms that the Options Clearing Corporation has released the June 2024 Options Disclosure Document (ODD). The ODD provides investors with essential information about the features and potential risks of trading standardized options.
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• Regulatory Notice 24-09: FINRA's Guidance on Generative AI and Large Language Models
  FINRA's notice reinforces that while AI technologies can enhance operational capabilities, they must be used in accordance with existing regulatory standards to ensure continued compliance and investor protection. They encourage firms to contact Quadrant if they encounter uncertainties about applying rules to AI technologies.
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