SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
A vibrant and efficient capital-raising process fosters business expansion, job creation, innovation and economic growth. FINRA members play a critical role in facilitating capital formation for businesses of all sizes. FINRA supports the capital-raising process through appropriately tailored rules for its members that are designed for the benefit of all market participants.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Tuesday, February 68:00 a.m. – 9:30 a.m.General Breakfast9:30 a.m. – 10:25 a.m.Welcome Remarks and Keynote Speaker: Latest Trends in CybersecurityLearn more about the intersection between cybersecurity and emerging technologies such as generative artificial intelligence and how digital advancements will shape the future cyber threat landscape and industry response.10:25 a.m. – 10:45 a.m.
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
Addressed to Yvonne Huber & Racquel Russel. Thank you both for requesting comment on Short Interest Position Reporting. I find it hopeful and positive that FINRA has acknowledged a gap in their ability to oversee Short Interest and Fail-To-Deliver Positions. In order to protect American investors (many of whom rely on equity positions ins 401Ks and IRAs to have a hope of retirement) FINRA
FINRA Updates Supplemental Statement of Income
J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
Ryan Broussard is no stranger to the Createathon Winners’ Circle. Since participating in his first event in 2020, his team GLAM 2.0 won third place overall and the People’s Choice Awards in 2020, team AQUA took first place in 2021, and 2022 his team IPIC won first place overall and the People’s Choice Awards. That’s quite a winning resume, However, for Ryan, it’s not all about winning. It’s also about innovation, collaboration, networking, and developing creative solutions that benefit FINRA and ultimately firms and the industry.
