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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