A Report on FINRA’s Financial Planning and Annual Budget
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
Chairman Kanjorski, Ranking Member Garrett and Members of the Subcommittee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.
Your credit score is a picture of you as a credit risk to the lender at the time of your application.
Stop orders are a type of market order that can limit your exposure if the price of a stock you have an interest in changes beyond the price point that you set. But stop orders can introduce distinct risks of their own, especially during times of market volatility.
FINRA Vice Chair Luparello Remarks From the FSI Advocacy Summit
