Webinar: FINRA Membership & Information Session for Proprietary Trading Firms

FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.

FINRA Speakers: 

• Stephanie Dumont, Executive Vice President, Office of Market Regulation and Transparency Services
• Greg Ruppert, Executive Vice President, Office of Member Supervision 
• Cindy Foster, Vice President, Membership Application Program (MAP)
• Jante Turner, Senior Advisor & Head of MAP Triage
• Racquel Russell, Senior Vice President & Director of Capital Markets, Office of General Counsel
• Lucy Palmieri, Senior Director, Office of Risk Monitoring
• Alexandra Toton, Senior Director, Office of Credentialing, Registration, Education and Disclosure (CRED)
• Patricia Casimates, Vice President, Market Regulation Transparency Services
• Dave Chapman, Vice President, Surveillance and Market Intelligence

Resources:

• SEC Rule Exemption for Certain Exchange Members
• Regulatory Notice 23-16 – FINRA Adopts TAF Exemption for Proprietary Trading Firms
• Regulatory Notice 23-19 – FINRA Adopts a Short-Form Membership Application Process for Certain Firms That Must Become FINRA Members due to Amended SEA Rule 15b9-1
• Member Regulatory Fees
• FINRA Rule 1210. Registration Requirements
• FINRA Rule 1220. Registration Categories
• Broker-Dealer Registration Key Topic Page
• Membership Application Program (MAP) Tools
• FINRA Home Page
• Member Firm Hub
• Email Subscription Service
• MAP Inquires – (212) 858-4000
• General Inquires – FINRA Support Center (800) 321-6273