TO: All NASD Members
On February 17, 1984, the Securities and Exchange Commission ("Commission" or "SEC") approved 1/ new Article III, Section 38 of the Association's Rules of Fair Practice, an Explanation of the Board of Governors, and an amendment to the Code of Procedure for Handling Trade Practice Complaints ("Code of Procedure"). These rule changes are
Bill Wollman is Executive Vice President, Office of Financial and Operational Risk Policy. In this role, he is responsible for FINRA’s policy and rulemaking efforts relating to broker-dealer financial responsibility rules, operational issues, customer protection requirements and margin standards. Mr. Wollman is one of the senior leaders who is responsible for leading FINRA’s response to firms
Good morning. Thank you for that introduction Louise [Guarneri], and thank you for inviting me to speak this morning.
Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on a disbursement of funds or securities or a transaction in securities for an additional 30-business days if the member
I am Dan Sibears and I currently serve as Executive Vice President, Member Regulation Programs for the Financial Industry Regulatory Authority, or FINRA®. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
By Jason Foye, Chief of FINRA’s Crypto Hub
FINRA’s core mission is to protect investors and promote market integrity. This mission is at the heart of everything we do. An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets
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EXECUTIVE SUMMARY
The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would
Testimony of FINRA Chairman and CEO, Richard Ketchum, Before the Subcommittee on Securities, Insurance and Investment, United States Senate
Timothy Thompson is Senior Vice President, Enterprise & Financial Solutions. More specifically, Mr. Thompson serves as the Head of FINRA’s Enterprise Risk Management (ERM) Team. ERM provides a consolidated, organization-wide view of risks that could potentially have a significant impact on FINRA’s ability to achieve its mission, strategic goals and key
