FINRA should evaluate how its policy and requirements for becoming a broker/dealer may be financially and/cost prohibitive. Access to financial resources may be a barrier to entry for many in targeted demographics for greater inclusion. Additionally, perhaps there are incentives that might aid more tradition broker/dealers in the recruitment, mentoring, and career support for diverse candidates.
The comment for gender is NOT in keeping with today's diversity needs. Male or Female does not cover any trans or pan sexuality. While I've had my account for over 20 years, I don't see why suddenly this sort of information is needed. It's part of the whole requirements that are just unnecessary, and make me want to lie. My annual income? None of this bank's concern. And
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt a Supplemental Liquidity Schedule, and Instructions thereto, pursuant to FINRA Rule 4524 (Supplemental FOCUS Information).
This proposal has nothing to do with investor protection or market integrity. In a free republic, companies should be free to create their own human resource policies that fit their competitive needs under the law. FINRA should not use their monopoly to push any agenda that is unrelated to customer protection and market integrity.
FINRA Gateway Reports contains historical information about individuals associated with your firm, including previous residential and branch locations. However, you may at times only want to compile a report with current addresses or branch locations. In these situations, you will want to use the Is null filter operator for end dates.
Log in to FINRA Gateway, navigate
Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2021; and
a summary of how eligible
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury Securities reported by FINRA Members to TRACE for the prior week. The reports have been published since March 2020. In the next few weeks, FINRA will publish the following:
On May 4, 2021, FINRA will publish historical weekly reports from January 2019 through the launch of the report in March 2020. The data will be
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“
Sydney Teixeira joined FINRA in 2016 and is a Principal Analyst in the Fixed Income Regulation, Regulatory Policy and Practice department, responsible for monitoring the policy and examination implications of fixed income regulatory matters. As a member of Fixed Income Regulation, Ms. Teixeira has contributed to several of the group’s initiatives, including the response to the COVID-19 impact on
