SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Uniform Practice
SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act)
SEC Approval and Effective Date for New Consolidated FINRA Rules
Good morning. I am delighted to be with you today. Before I begin, I just want to say a few words about Marc Lackritz. Marc, this may be your last annual conference as CEO and President of SIFMA, but the work you have done, and its impact on the markets, is going to be felt for a long time to come.
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding ways in which FINRA could help facilitate compliance among its member firms. One of FINRA's defining characteristics as a self-regulatory organization (SRO) is the ability to develop compliance tools and other
The annual meeting of FINRA firms will take place on or about August 18, 2025, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 18, 2025.
INFORMATIONAL
Decimalization
Survey Deadline: July 28, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the Securities and Exchange Commission (SEC) Order requiring a decimalization "phase-in
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
Public GovernorStrategic Advisor, Humana, Inc.Governor Since 2021Committees: Audit & Risk Committee, Compensation & Human Capital Committee, Finance, Operations & Technology Committee, Regulatory Oversight Committee Professional ExperienceHumana, Inc. (2017 – present)Chief Technology and Risk Officer (2019 – 2021)Chief Risk Officer (2017 – 2019)Capital One
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
