A Conversation With FINRA Chair Scott Curtis
At the 2025 FINRA Annual Conference on May 14, FINRA Chair Scott Curtis discusses topics of interest to FINRA member firms and other stakeholders, in conversation with President and CEO Robert Cook.
2024083981002 Christopher A. Matuch CRD 3090359 AWC vr (2025-1754871593991).pdf
From April 2022 through August 2022, Matuch inaccurately marked the value of six positions in his trading book in 1,034 instances, thereby concealing millions of dollars in unrealized losses from his member firm. For this falsification in violation of FINRA Rule 2010, Matuch is suspended in all capacities for four months and fined $5,000...
Nina Moss Comment On Regulatory Notice 25-07
We wanted to add a comment to section G5 related to the impact of AI agents to current workflows. AI agents have the capability now to scrape data off the internet and complete forms like a person would, they can also adapt rapidly and learn based on the success rate of the workflow, there are already instances where agentic AI was banned because of the potential for misuse like the recent ban on agentic applications to jobs on Linkedin.