Top 10 Financial Capability
Rate of Change: Interest Rate Cycles Since the 1970s
Cybersecurity and the Financial Industry
The Fine Print on Real Estate Investment Trusts
Looking for One in a Billion
High Frequency Trading
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Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
I am a retail and self-directed investor mainly trading and investing in US listed leverage & inverse ETFs and associated exchange traded options. I am also a finance professional with work experiences in investment advisory on vanilla and structured products, including equities, fixed income, interest rates and currencies, in overseas jurisdictions outside of the US, and hold MBA and CFA
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Subordination Agreements
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Executive Summary
On April 26, 2001, NASD Regulation, Inc. (NASD RegulationSM) staff reported to the Board of Directors that it would: (1) discontinue publishing the "
In 2002, FINRA Dispute Resolution became concerned about the length of time it takes to resolve arbitrations involving senior or seriously ill parties.
September 19, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the SEC’s Regulation Best Interest (Reg BI) and Form CRS.Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Associate General Counsel, Office of General CounselNicole McCafferty, Senior Director,
Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"
As FINRA’s Ombuds, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, individual brokers, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA’s processes.
Ms. Gill previously led FINRA’s State
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Thank you, Drew [Bowden] for that introduction, and thanks also to IRI for the invitation to speak here today. It’s my pleasure to update you on what we are doing and thinking about at FINRA.
I don’t need to tell anyone in this room how rapidly the legislative and regulatory environment is changing and evolving. We are all seeing it and living it every day. But, many of
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Certification by Chief Executive Officer and Chief Compliance Officer
Comment Period Expires on: July 11, 2003
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Executive Summary
NASD is proposing to amend Rule 3010 and adopt
