FINRA Announces Results of Board of Governors Elections
FINRA announced today the results of its election of two new members to its Board of Governors during the annual meeting of FINRA member firms on Monday. The elected Governors include: Large Firm Governor — J. Bradford Eichler, Chief Operating Officer, Stephens Inc.; Small Firm Governor — Erin Baskett, Chief Executive Officer, Sine Qua Non Capital LLC
23-02906.pdf
Expungement Award
Regulatory Notice 25-09
FINRA rules require members to provide associated persons with specified information relating to the uniform registration forms and predispute arbitration. FINRA has observed that members currently satisfy some of these requirements through manual processes, such as delivery of the information via U.S. mail. As part of the FINRA Forward initiatives, FINRA has made enhancements to its systems to give members the option of satisfying these requirements electronically via FINRA’s Financial Professional Gateway (FinPro GatewayTM) beginning November 3, 2025.
24-02495.pdf
Award