IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL SALES, COMPLIANCE AND CREDIT OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Attached are copies of notices issued by the Comptroller of the Currency that relate to certain direct obligations that either may be worthless or have not been honored by a number of offshore bank licenses registered in Majuro, Marshall Islands. Because
First in a series highlighting colleagues working behind the scenes to help FINRA achieve our mission.
Raj Pillai is no stranger to crises. Y2K. 9/11. The Northeast blackout of 2003. Superstorm Sandy. He has worked through them all, the latter at FINRA, which he joined in 2011.
“There are different challenges with each situation. Every time, we’ve gotten better and better in terms of technology
Re: Comment on FINRA Regulatory Notice 25-05 – Proposed Rule 3290 Submitted by: Desiree Moreno Pineyro Date:05/05/2025To: Jennifer Piorko Mitchell Office of the Corporate Secretary Financial Industry Regulatory Authority (FINRA) 1700 K Street, NW Washington, DC 20006Dear Ms. Mitchell,As a fully licensed financial professional and manager with Series 7, 66, 9, 10, and 31 registrations, I am
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
New research suggests that seniors may be particularly vulnerable to the effects of heightened emotions on decision making. Researchers at the Stanford Center on Longevity, FINRA Foundation and AARP found that inducing emotions, such as excitement and anger, in older adults increased their intention to buy falsely advertised items.
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
The purpose of this Notice is to advise FINRA member firms that FINRA is temporarily increasing the maintenance margin requirements for auction rate securities pursuant to NYSE Rule 431(f)(8)(A) and NASD Rule 2520(f)(8)(A).
Rubyna Haslani Zito is a Senior Vice President of Technology Operations and Services and the Chief of Staff to the CIO at FINRA (Financial Industry Regulatory Authority). She manages Technology Operations and Services that include Technology Compliance Office, Training, Communications, Reporting, Space planning and redesign, as well as financial planning and budgeting. Her responsibilities as
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FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
