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NO NEED TO TEST ANYONE FOR INVESTMENTS OR ANY OTHER FINANCIAL DECISIONS. WE ARE THE PEOPLE. WE WILL VOTE YOU OUT OFFICE . OR YOU CAN JUST BE IMPEACHED.
ALL OF YOU. YOI ARE GUILTY OF INSIDER TRADING,.LAUNDERING MONEY, AND MAKEING THINGS SO EXPENSIVE WE ARE
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
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Good morning, Mr. Chairman, Senator Gramm, Members of the Committee. On behalf of the NASD, I want to thank the Committee for this opportunity to testify – and to commend you for holding a timely hearing on a vital subject.
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, 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 Monday, August 7, 2023.
The purpose of this
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Industry Governor (Large Firm Representative)Managing Partner, Edward JonesGovernor Since 2022Committees: Audit & Risk Committee, Finance, Operations & Technology CommitteeProfessional ExperienceEdward JonesManaging Partner (2019 – present)Principal, Client Strategies Group (2015 – 2019)Principal, Branch and Region Development (2011– 2015)Principal, Branch Office Administrator
