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Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or
Regulatory Notice 08-37 - FINRA Reminds Firms that the Trading Activity Fee Is Assessed on Exchange-Listed Options Transactions when FINRA Is the DOEA
Most of us know someone who has been a victim of a financial scam, or we may have been a target ourselves. If you’ve been impacted by this type of crime, there are ways you can get assistance. These six steps can help you reclaim power from the fraudsters and begin to move forward.
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to
Testimony of Chairman and CEO, Richard Ketchum, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has provided data on multiple indicators of capability, including financial behaviors, attitudes, and knowledge. National Financial Capability Study survey data is collected every three years. The 2024 survey, which was published in July, represents the sixth wave of data. This episodes dives into the report that serves as an important barometer of Americans financial health, and continues to be an essential resource for policymakers, researchers, financial firms, educators, and other stakeholders seeking to better understand and address the financial capability needs of Americans.
Thursday, December 14, 2017
4:15 p.m. – 5:00 p.m. ET
FINRA is hosting a phone-in workshop and WebEx presentation to introduce the Cross Market Equities Supervision: Potential ATS Cross Manipulation and Cross Market Equities Supervision: Potential Auto Execution Manipulation Report Cards. These two new Report Cards are anticipated to become available on the FINRA Report Center in early January.
The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
