Industry Governor (Large Firm Representative)Chief Operating Officer, Raymond James Financial Governor Since 2023Committees: Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Regulatory Policy Committee (ex officio)Professional ExperienceRaymond James Financial Chief Operating Officer (2024 – present)President –
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury is soliciting comments on proposed amendments to the implementing regulations of the Bank Secrecy Act. Also known as the Currency and Foreign Transactions Reporting Act of 1970, these regulations govern the payment, receipt or transfer of currency or other monetary instruments; the export or import
Public GovernorStrategic Advisor, Humana, Inc.Governor Since 2021Committees: Audit & Risk Committee, Compensation & Human Capital Committee, Finance, Operations & Technology Committee Professional ExperienceHumana, Inc. (2017 – present)Chief Information Officer (2021 – 2024)Chief Technology and Risk Officer (2019 – 2021)Chief Risk Officer (2017 – 2019)Capital One
Remarks From the National Compliance Outreach Program for Broker-Dealers
TO: All NASD Members and Other Interested Persons
Under the provisions of the NASD fidelity bonding rule (Article III, Section 32, NASD Rules of Fair Practice) all members who are required to be members of the Securities Investor Protection Corporation and who have employees must carry a fidelity bond.
On December 17, 1982, in Notice to Members 82-58, which described the introduction of the
The FINRA Board of Governors is holding its third meeting of the year this week.
Compliance Outreach Program for Broker-Dealers
Executive Summary
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and
Summary
FINRA has adopted new Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems),1 which implements additional requirements for firms that operate systems that regularly disseminate the quotations of identified broker-dealers in OTC Equity Securities (each an “inter-dealer quotation system” or “IDQS”).2 Rule 6439 will become effective on October 1, 2021, except for paragraph (d)(
