Permissible activities for a Series 6 Representative (Limited Representative - Investment Company and
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,
The law is not truly being enforced as those still blatantly and destructively manipulating the market get away with it every single day, to the point where retail investors can correctly predict how a stock will be manipulated in the open market. These people need and deserve to be in prison for committing these despicable acts at the cost of those without mass money and power. The people that
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 to reopen the period by which certain participants in the Maintaining Qualifications Program will be able to complete their prescribed 2022 and 2023 continuing education content.
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Public GovernorRetiredGovernor Since 2022Committees: Compensation & Human Capital Committee (Chair), Executive Committee, Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperienceMAK Management Consulting (2016 – 2022)Morgan StanleyCo-CIO and Managing Director, Global Technology (2013 – 2016)Managing Director and CIO – Wealth and Investment
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
On December 5, 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. This will include Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
A TDDS parallel production test period will run from Monday, November 7, 2022, through Friday, December 2, 2022. During this period both TDDS 2.0 multicast and TDDS 2.1
I have been investing for over 30 years. I have a passion for studying the markets and paying attention to the economy and market cycles. Over 30 years I have personally experienced the best bull markets and bear markets of the past 75 years. If there is one thing I have learned, there is NO reason to be bullish (long the stock market) 100% of the time, and there is No reason to be bearish 100
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.
