SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice to Members 88-104 and 89-17, the NASD requires its members to respond to requests for trading data by using a standardized automated format. This format is
Web API/User Guide Specifications and Production Test Scripts Archive
I Request FINRA to Please allow everyone to access these products. Many people use these products sensibly by allocating a small portion of their net-worths. It is not fair to allow only certain individuals to access these products, while restricting everyone else. One could buy a stock which could go to zero, is that not an unsafe / complex investment? How do you define complexity? Buying AAPL
Leveraged and inverse funds are a hedging tool when I think put option premiums are expensive and/or I am unable to directly short a stock or ETF in my retirement accounts. I also use them to make speculative directional bets where I deem appropriate. Position size is always key in volatile products ,that is just common sense from the offset, or quickly learned by actual trading experience...
From the start of day transmissions, on January 31, 2022, FINRA experienced an issue with its data feeds (ATDS, BTDS, BTDS-144A, SPDS, SPDS-144A and TDDS) resulting in transactions not being disseminated. The problem was corrected at approximately 8:37 a.m.; at that time feeds began publishing normally.
During the afternoon of January 31, 2022, FINRA will issue retransmissions to all
Permissible activities for a Series 6 Representative (Limited Representative - Investment Company and
The Liquidity Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The Trusted Contact Persons section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
In 2022, FINRA developed an enterprise-wide strategy to ensure preparation for an evolving crypto asset regulatory landscape with the creation of the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, which originally aired in August 2023, we learn more about the strategy and the role of the Hub.
Industry Governor (Floor Member)PresidentUBS Securities LLCGovernor Since 2024Professional ExperiencePresident, UBS Americas (2022 – present)Federal Reserve Bank of NY (2021 – 2022)Morgan Stanley Wealth Management (2016 – 2020)Current Board Service and AffiliationsBoard Member, Partnership for New York CityBoard Member, American Swiss Foundation BoardBoard Member, Ownership WorksEducationMBA,
