Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.
EssentialsThe basic purpose of life insurance is to provide financial support to people who depend on you financially—such as your spouse, partner, children or other loved ones—in the event of your death.Many types of life insurance are available. Key features to consider include the length of coverage, whether you pay fixed or variable premiums, how benefits are determined and costs of coverage.
SUGGESTED ROUTING*
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Section 59 of the NASD's Uniform Practice
Firms cited several different benefits and challenges they encountered during their cloud journey.
In particular, firms noted that in assessing the potential benefits and challenges related to the use of cloud computing it is important to assess them in comparison to the other alternatives available to firms, such on-prem environments (which carries its own relative benefits and challenges). The
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceResearchSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
Public GovernorFormer Chair and CEO, Ontario Securities CommissionGovernor Since 2020Committees: Audit & Risk Committee, Executive Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (Chair)Professional ExperienceOntario Securities CommissionFormer Chair and Chief Executive Officer (2016 – 2020)
FINRA published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. The report provides member firms with key insights and observations from recent activities of FINRA’s regulatory operations to use in strengthening their compliance programs.
SUGGESTED ROUTING
Senior Management Corporate Finance Legal & Compliance Syndicate
Executive Summary
On May 10, 1994, the Securities and Exchange Commission (SEC) approved amendments to Schedule E to the NASD By-Laws (Schedule E) that require compliance with its provisions if a member participating in a distribution of a public offering of debt or equity securities has a conflict
FINRA disciplinary actions for the month of July 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
